KL
Kathryn R. Lewis
CANTOR FITZGERALD & CO.
Memphis, TN 38119
Some features on this profile are disabled
CRD#: 6115977
KL
Professional summary
Kathryn Rea Lewis, who also goes by Kathryn Marie Manning-rea, Kathryn Marie Pritchard, Kathryn Marie Rea, Kathryn Marie Rea-pritchard, is a registered financial professional currently at CANTOR FITZGERALD & CO. located in Memphis, Tennessee.
Kathryn is registered as a RR (Registered Representative) and started their career in finance in 2012. Kathryn has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathryn Marie Manning-Rea | Kathryn Marie Pritchard | Kathryn Marie Rea | Kathryn Marie Rea-Pritchard
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.
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Rea Lewis's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 21, 2012 - Present
CANTOR FITZGERALD & CO.
Office #1: 6410 Poplar Avenue Suite 700, Memphis, TN 38119BD
CRD#: 134
Memphis, TN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(8/10/2017)
RR
Arizona(2/25/2014)
RR
Arkansas(2/16/2023)
RR
California(2/19/2014)
RR
Colorado(9/27/2012)
RR
Connecticut(1/31/2018)
RR
Florida(2/3/2016)
RR
Idaho(2/10/2014)
RR
Illinois(2/10/2014)
RR
Indiana(5/11/2016)
RR
Iowa(2/7/2014)
RR
Kentucky(3/5/2019)
RR
Louisiana(8/1/2025)
RR
Maine(2/19/2019)
RR
Maryland(11/10/2015)
RR
Massachusetts(11/6/2014)
RR
Minnesota(2/13/2014)
RR
Mississippi(1/16/2020)
RR
Montana(9/7/2017)
RR
Nebraska(4/14/2014)
RR
Nevada(1/10/2017)
RR
New Mexico(9/27/2012)
RR
New York(11/29/2017)
RR
North Carolina(2/21/2024)
RR
Ohio(5/15/2015)
RR
Oklahoma(2/16/2023)
RR
Oregon(9/10/2018)
RR
Pennsylvania(6/5/2023)
RR
South Carolina(1/31/2018)
RR
Tennessee(9/26/2012)
RR
Texas(12/14/2012)
RR
Utah(11/5/2012)
RR
Vermont(2/19/2019)
RR
Virginia(2/3/2016)
RR
Washington(8/10/2017)
RR
Wyoming(9/27/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
CANTOR FITZGERALD & CO.
CANTOR DIRECT A DIVISION OF CANTOR FITZGERALD & CO. | CANTOR, FITZGERALD & CO., INC. | CANTOR FITZGERALD & CO.
CRD#: 134 / SEC#: , 8-201
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
110 East 59th Street 4th Floor, New York, NY, 10022
Mailing Address
110 East 59th Street 4th Floor, New York, NY, 10022
Phone number
(212) 938-5000
Established
New York since 09/25/1992
Firm type
Partnership
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CFS CF & CO I HOLDINGS, L.P. | MANAGING GENERAL PARTNER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| BANDELIER, PASCAL DANIEL | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF EQUITIES | 4424051 |
| CFLP CF&CO I HOLDINGS, L.P. | LIMITED PARTNER | |
| KELLY, SAGE NOLAN | CO-CHIEF EXECUTIVE OFFICER /GLOBAL HEAD OF INVESTMENT BANKING | 2528122 |
| MERKEL, STEPHEN MARCUS | EXECUTIVE MANAGING DIRECTOR, CHIEF LEGAL OFFICER, GENERAL COUNSEL & SECRETARY | 2366318 |
| SALINAS, DANNY | CHIEF FINANCIAL OFFICER | 6184109 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
| WALL, CHRISTIAN DOUGLAS | CO-CHIEF EXECUTIVE OFFICER/GLOBAL HEAD OF FIXED INCOME | 2751397 |
Disclosures
| Regulatory Event | 97 |
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
CANTOR FITZGERALD & CO.
CRD#: 134Memphis, TN 38119TRUST BUT VERIFY
Monitor Kathryn Lewis
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
