Katherine L. Segraves
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 Louise Segraves, who also goes by Katherine Louise Forsythe, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2011. Katherine had worked at 3 firms and has passed the Series 65, 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
October 26, 2016 - March 15, 2018
GUGGENHEIM INVESTOR SERVICES, LLC
December 19, 2013 - November 13, 2014
NEW ENGLAND SECURITIES
May 3, 2013 - November 13, 2014
NEW ENGLAND SECURITIES
February 21, 2011 - May 6, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GUGGENHEIM INVESTOR SERVICES, LLC
CRD#: 30096 / SEC#: , 8-44742
Contact information
FINRA licenses (13 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
