Kathryn W. Wommack
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.
Kathryn Winston Wommack was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1983. Kathryn had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2010 - May 6, 2016
ALPS DISTRIBUTORS, INC.
February 23, 2010 - May 9, 2016
RIVERFRONT INVESTMENT GROUP, LLC
June 25, 2009 - December 8, 2009
CARY STREET PARTNERS
June 25, 2009 - December 8, 2009
CARY STREET PARTNERS
August 31, 2005 - June 29, 2009
WELLS FARGO CLEARING SERVICES, LLC
June 7, 2002 - June 29, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 14, 1994 - March 11, 1998
FIRST UNION CAPITAL MARKETS CORP.
February 9, 1983 - July 22, 1988
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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