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KL

Katherine D. Larson

Some features on this profile are disabled
CRD#: 6089163
KL

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 D Larson, who also goes by Katie Larson, was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 2012. Katherine had worked at 1 firm and has passed the Series 99 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katie Larson

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

September 6, 2012 - August 21, 2014

GEORGESON SECURITIES CORPORATION

BD
CRD#: 46749
CANTON, MA

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

General Industry/Product Exam
RR
Series 99
Date: 9/5/2012
Operations Professional Examination

Current Firm

GS
GEORGESON SECURITIES CORPORATION
GEORGESON SECURITIES CORPORATION | GEORGESON SHAREHOLDER SECURITIES CORP.

CRD#: 46749 / SEC#: , 8-51538

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
118 Fernwood Avenue, Edison, NJ 08837
Mailing Address
118 Fernwood Avenue, Edison, NJ 08837
Phone number
(201) 275-5342
Established
Delaware since 12/15/1998
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GEORGESON LLC100% OWNER
CHASSE, JEFFREY GEORGEASSISTANT TREASURER6383899
CLEMONS, GREGORY JOEASSISTANT TREASURER7162929
FRIERSON, SHEILABOARD DIRECTOR7463457
FROMBERG, ROBERT MARCSECRETARY6034320
GRUBER, CATHERINEASSISTANT TREASURER7658317
MOCOGNI, SHAWNA LEIGHASSISTANT TREASURER7164315
NISLEY, CYNTHIA BLOUNTPRESIDENT/DIRECTOR5369413
PARK, JIN SOOTREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, AND FINANCIAL AND OPERATIONS PRINCIPAL4836106
TSOUNAKIS, IAKOVOSCHIEF COMPLIANCE OFFICER3259778

Disclosures

Regulatory Event5

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

GEORGESON SECURITIES CORPORATION

CRD#: 46749

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