Rita Kaslof
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.
Rita Kaslof, who also goes by Rita Mammoliti, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 1981. Rita had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2018 - November 10, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
July 11, 2018 - April 2, 2024
MUTUAL OF AMERICA SECURITIES LLC
September 16, 2016 - July 3, 2017
NEWBRIDGE SECURITIES CORPORATION
January 30, 2006 - July 28, 2016
TRADESTATION SECURITIES, INC.
June 25, 2003 - January 23, 2006
WESTMINSTER SECURITIES CORPORATION
December 2, 1988 - June 23, 2003
PARAGON CAPITAL MARKETS, INC.
June 13, 1986 - November 29, 1988
GREENTREE SECURITIES CORP.
June 23, 1981 - April 25, 1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
Primary Firm SEC Registration
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
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 55
Date: 7/31/1999
Limited Representative-Equity Trader ExamCurrent Firm
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LU, KATHRYN ANNE | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 5605579 |
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 335,621,798 |
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.
