Kathryn Ann Estes
Professional Summary
Kathryn Ann Estes, who also goes by Kathryn Ann Estes, is a registered financial advisor currently at ANZ SECURITIES, INC. located in New York, New York. Kathryn is registered as a RR (Registered Representative) and started their career in finance in 2016. Kathryn has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathryn Ann Estes
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
ANZ SECURITIES, INC.
Contact Information
Main Address
277 Park Avenue Floor 31, New York, NY 10172-0003Mailing Address
277 Park Avenue Floor 31, New York, NY 10172-0003Phone Number
(917) 532-8653Established
New York since 04/07/1994Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(6/23/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Kathryn Ann Estes's CRS (Customer Relationship Summary).
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