Kathryn K. Sagliocca
Professional summary
Kathryn Kiara Sagliocca is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in New York, New York.
Kathryn is registered as a RR (Registered Representative) and started their career in finance in 2018. Kathryn has worked at 2 firms and has passed the Series 11 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Kiara Sagliocca's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 20, 2022 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 5 Hanover Sq. 12th Floor, New York, NY 10004September 22, 2018 - July 19, 2022
NATIONAL SECURITIES CORPORATION
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 11
Date: 9/22/2018
Assistant Representative-Order Processing Qualification ExamFINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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