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KM

Kathryn A. Maiorano

PANTHEON SECURITIES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 6212346
KM

Professional summary

Kathryn A Maiorano, who also goes by Kathryn Maiorano, Kathryn Sen, is a registered financial professional currently at PANTHEON SECURITIES, LLC located in Chicago, Illinois.

Kathryn is registered as a RR (Registered Representative) and started their career in finance in 2015. Kathryn has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathryn Maiorano | Kathryn Sen

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) - BD

Click below to view Kathryn A Maiorano's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 2, 2021 - Present

PANTHEON SECURITIES, LLC

Office #1: One North Wacker Drive Suite 1905, Chicago, IL 60606
BD
CRD#: 285480
Chicago, IL
Past

September 4, 2017 - July 7, 2021

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

April 13, 2015 - May 12, 2016

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

January 13, 2015 - May 12, 2016

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
(8/2/2021)
RR
California
(8/2/2021)
RR
Colorado
(8/2/2021)
RR
Connecticut
(9/12/2025)
RR
Delaware
(9/12/2025)
RR
Hawaii
(8/2/2021)
RR
Idaho
(8/2/2021)
RR
Illinois
(8/2/2021)
RR
Iowa
(8/2/2021)
RR
Kansas
(8/2/2021)
RR
Maine
(9/12/2025)
RR
Maryland
(9/12/2025)
RR
Massachusetts
(9/12/2025)
RR
Missouri
(8/2/2021)
RR
Montana
(8/2/2021)
RR
Nebraska
(8/2/2021)
RR
Nevada
(8/2/2021)
RR
New Hampshire
(9/12/2025)
RR
New Jersey
(9/12/2025)
RR
New York
(8/3/2021)
RR
North Dakota
(8/2/2021)
RR
Oregon
(8/2/2021)
RR
Rhode Island
(9/12/2025)
RR
South Dakota
(8/2/2021)
RR
Utah
(8/2/2021)
RR
Vermont
(9/12/2025)
RR
Washington
(8/2/2021)
RR
Wyoming
(8/2/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/10/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/13/2015
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PS
PANTHEON SECURITIES, LLC
PANTHEON SECURITIES, LLC

CRD#: 285480 / SEC#: , 8-69844

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

Main Address
11 Times Square 35th Floor, New York, NY 10036
Mailing Address
11 Times Square, New York, NY 10036
Phone number
(212) 205-2000
Established
Delaware since 08/24/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PANTHEONOWNER110091
BANKS, CHRISTOPHER JOHNCCO/AMLCO4308224
BANKS, CHRISTOPHER JOHNCEO/PRESIDENT4308224
ROCHE, PASCAL ACFO/FINOP5920968

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

PANTHEON SECURITIES, LLC

CRD#: 285480Chicago, IL 60606

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