Kathryn A. Pietra
Professional summary
Kathryn Anne Pietra is a registered financial professional currently at REGIONS SECURITIES LLC located in Atlanta, Georgia.
Kathryn is registered as a RR (Registered Representative) and started their career in finance in 2023. Kathryn has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Anne Pietra's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2023 - Present
REGIONS SECURITIES LLC
Office #1: 1180 W Peachtree Street Nw, Atlanta, GA 30309State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/13/2023)
Exams
Series 79TO
Date: 10/10/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/23/2023
General Securities Representative ExaminationFINRA
Current Firm
REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
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