Mary Kate Gorman
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.
Mary Kate Gorman, who also goes by Mary Kate A Gorman, was a registered financial professional .
Mary Kate is a previously registered financial professional and started their career in finance in 2015. Mary Kate had worked at 3 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2018 - October 4, 2018
EASTERLY SECURITIES LLC
January 15, 2016 - February 14, 2017
CANACCORD GENUITY LLC
May 27, 2015 - January 19, 2016
COWEN AND COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EASTERLY SECURITIES LLC
CRD#: 281103 / SEC#: , 8-69661
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EASTERLY ASSET MANAGEMENT OPERATIONS LLC | SOLE AND MANAGING MEMBER | |
| JULIANO JR, PHILIP L | CHIEF EXECUTIVE OFFICER | 4781008 |
| JUSTER, KENNETH G | CHIEF LEGAL OFFICER | 4788250 |
| MONTAGUE, MICHAEL | CHIEF FINANCIAL OFFICER | 5121305 |
| SMITH, ELIZABETH ANNE | FINOP | 1960549 |
| SOMERS, DAVID MICHAEL II | CHIEF COMPLIANCE OFFICER | 4413478 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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