Katherine A. Carron
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.
Katherine Anne Carron, who also goes by Katherine Derge, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2010. Katherine had worked at 2 firms and has passed the Series 66, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2018 - July 17, 2020
ALPHAMAX DISTRIBUTORS, L.L.C.
August 29, 2016 - December 4, 2017
ALPHAMAX DISTRIBUTORS, L.L.C.
January 27, 2014 - October 28, 2014
E*TRADE SECURITIES LLC
October 13, 2010 - July 3, 2012
ALPHAMAX DISTRIBUTORS, L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPHAMAX DISTRIBUTORS, L.L.C.
CRD#: 8258 / SEC#: , 8-24931
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSBORNE, MATTHEW CHARLES | CHIEF EXECUTIVE OFFICER & CIO, CCO | 2949871 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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