Kathy P. Mraz
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.
Kathy Pearsall Mraz, who also goes by Kathy Leigh Pearsall, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 2016. Kathy had worked at 1 firm and has passed the SIE, Series 99TO and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2016 - July 21, 2025
PREFERRED CAPITAL SECURITIES, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 9/3/2016
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
PREFERRED CAPITAL SECURITIES, LLC
CRD#: 169719 / SEC#: , 8-69382
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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