Katharine M. Goldstone
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Katharine Mary Goldstone, who also goes by Kate Mary Goldstone, Kate Mary Kautzky, Katharine Mary Kautzky, was a registered financial professional .
Katharine is a previously registered financial professional and started their career in finance in 2009. Katharine had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2014 - December 8, 2015
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 16, 2012 - April 25, 2014
TRANSAMERICA CAPITAL, LLC
July 19, 2011 - December 31, 2011
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 25, 2009 - July 16, 2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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