Katherine A. Wood
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 Ann Wood Ms., who also goes by Katherine Wood, Katie Wood Ms., was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2016. Katherine had worked at 1 firm and has passed the Series 63, SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2016 - August 14, 2018
RESEARCH CAPITAL USA INC.
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 37
Date: 9/26/2016
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
RESEARCH CAPITAL USA INC.
CRD#: 39670 / SEC#: , 8-48795
Contact information
FINRA licenses (22 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
