Katherine A. Rippe
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 Adelle Rippe, who also goes by Kate Rippe, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2014. Katherine had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2019 - September 27, 2021
THE O.N. EQUITY SALES COMPANY
June 30, 2017 - December 19, 2018
ONEAMERICA SECURITIES, INC.
June 30, 2017 - December 19, 2018
ONEAMERICA SECURITIES, INC.
April 6, 2017 - June 6, 2017
MML INVESTORS SERVICES, LLC
February 6, 2017 - June 6, 2017
MML INVESTORS SERVICES, LLC
November 15, 2014 - February 13, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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