Kathryn R. Booth
Professional summary
Kathryn Ryan Booth, who also goes by Kay Ryan Booth, Kay Booth, is a registered financial professional currently at TPEG SECURITIES, LLC located in Southlake, Texas.
Kathryn is registered as a RR (Registered Representative) and started their career in finance in 1978. Kathryn has worked at 5 firms and has passed the Series 63, SIE, Series 16, Series 15, Series 5, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Ryan Booth's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2014 - Present
TPEG SECURITIES, LLC
Office #1: 2102 E State Hwy 114 Suite 300, Southlake, TX 76092April 20, 2012 - March 25, 2014
CAPPELLO CAPITAL CORP.
October 1, 2008 - January 2, 2009
J.P. MORGAN SECURITIES LLC
June 2, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
June 11, 1987 - June 2, 2008
J.P. MORGAN SECURITIES LLC
March 20, 1978 - April 15, 1987
LEHMAN BROTHERS 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
(6/18/2015)
(10/5/2023)
(1/20/2022)
(9/7/2022)
(9/8/2020)
(9/29/2014)
(9/17/2025)
Exams
Series 15
Date: 4/15/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationFINRA
Current Firm
TPEG SECURITIES, LLC
CRD#: 146726 / SEC#: , 8-67843
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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