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KM

Katherine Marin

Some features on this profile are disabled
CRD#: 5904342
KM

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 Marin was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 2014. Katherine had worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 18, 2016 - December 23, 2019

GREEN STREET TRADING, LLC

BD
CRD#: 28937
NEWPORT BEACH, CA
Past

December 18, 2014 - July 31, 2020

GREEN STREET

RIA
CRD#: 172378
West Sacramento, CA
Past

June 5, 2014 - December 15, 2014

GREEN STREET TRADING, LLC

RIA
CRD#: 28937
NEWPORT BEACH, CA
Past

April 11, 2014 - December 15, 2014

GREEN STREET TRADING, LLC

BD
CRD#: 28937
NEWPORT BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/5/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/10/2014
General Securities Representative Examination

Current Firm

GS
GREEN STREET TRADING, LLC
GREEN STREET ADVISORS, INC. | GREEN STREET TRADING, LLC | GREEN STREET ADVISORS, LLC

CRD#: 28937 / SEC#: 801-67196, 8-44110

BD
Terminated by SEC on 01/26/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 12/07/1987
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A FIRM BROCHURE (9/29/2014)

Direct owners and executive officers

NamePositionCRD#
GREEN STREET ADVISORS, LLCMEMBER172378
FRANCIS, ROBYN ANNCHIEF COMPLIANCE OFFICER / AML-CO4844221
LEUPOLD, CRAIG ARTHURPRESIDENT2487095
MEISTER, JEFFREY ALLANFINOP, CFO6585890
SULLIVAN, JAMES PATRICKSECRETARY2570940

Disclosures

Regulatory Event1

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.

Company Information

GREEN STREET TRADING, LLC

CRD#: 28937

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