Kathleen P. Peterson
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.
Kathleen Patricia Peterson, who also goes by Katie Peterson, Kathleen Patricia Reinhart, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2012. Kathleen had worked at 6 firms and has passed the Series 66, SIE, Series 52, Series 7, Series 53 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2024 - June 2, 2026
STRATCAP SECURITIES, LLC
December 21, 2016 - March 6, 2024
CANTOR FITZGERALD & CO.
November 7, 2013 - December 27, 2016
QUESTAR ASSET MANAGEMENT, INC.
November 7, 2013 - December 27, 2016
QUESTAR CAPITAL CORPORATION
December 5, 2012 - November 6, 2013
SECURIAN FINANCIAL SERVICES, INC.
December 5, 2012 - November 6, 2013
CRI SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STRATCAP SECURITIES, LLC
CRD#: 151152 / SEC#: , 8-68338
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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