Kathryn A. Estes
Professional summary
Kathryn Ann Estes, who also goes by Kathryn Ann Estes, is a registered financial professional 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.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Ann Estes's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2026 - Present
ANZ SECURITIES, INC.
Office #1: 277 Park Avenue Floor 31, New York, NY 10172-0003March 21, 2016 - October 27, 2025
DNB CARNEGIE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/23/2026)
Exams
FINRA
Current Firm
ANZ SECURITIES, INC.
CRD#: 36654 / SEC#: , 8-47390
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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