Kathleen M. Casagrandi
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.
Kathleen Michele Casagrandi was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1978. Kathleen had worked at 7 firms and has passed the Series 63, SIE 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
September 7, 2006 - December 16, 2015
WINSLOW, EVANS & CROCKER, INC.
July 5, 2006 - September 6, 2006
BISHOP, ROSEN & CO., INC.
June 24, 2004 - July 5, 2006
JESUP & LAMONT SECURITIES CORP
October 25, 2002 - June 24, 2004
MOORS & CABOT, INC.
August 4, 2000 - October 24, 2002
A. G. EDWARDS & SONS, INC.
March 22, 1988 - August 17, 2000
GRUNTAL & CO., L.L.C.
December 1, 1978 - February 20, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
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
Current Firm
WINSLOW, EVANS & CROCKER, INC.
CRD#: 29686 / SEC#: 801-63905, 8-44347
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | SOLE SHAREHOLDER | |
| BERLINE, LEONID | CHIEF COMPLIANCE OFFICER | 3027633 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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