Kathryn L. Dingwall
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.
Kathryn Laima Dingwall was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2014. Kathryn had worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2014 - March 21, 2025
IA SECURITIES (USA) INC.
State Registrations and Notice Filings
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Exams
Current Firm
IA SECURITIES (USA) INC.
CRD#: 135721 / SEC#: , 8-66944
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDUSTRIAL ALLIANCE INSURANCE AND FINANCIAL SERVICES INC | OWNER | |
| SMITH, MICHAEL ROTHWELL | CEO, DIRECTOR & CHIEF COMPLIANCE OFFICER | 5417569 |
Red Flags
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