Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathi? Claim Your ProfileKathi Renee Mansfield is a financial professional with over 30 years of experience in the securities industry. Kathi is currently registered with Realta Equities, Inc. in Wilmington, DE. Previously, she worked with Dempsey Lord Smith, LLC in Redondo Beach, CA and Peak Brokerage Services, LLC in Roswell, GA, among others. Kathi holds several industry licenses including Series 7, 24, 52, 53, 63, 79 and SIE. Kathi is also a registered principal in several states.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
DE
02/07/2022 - Present
Realta Equities, Inc. (WILMINGTON DE)
CA
09/14/2015 - 02/02/2022
DEMPSEY LORD SMITH, LLC (REDONDO BEACH CA)
GA
08/09/2011 - 12/31/2013
PEAK BROKERAGE SERVICES, LLC (ROSWELL GA)
GA
01/21/2008 - 02/22/2011
CAPE SECURITIES INC. (MCDONOUGH GA)
GA
06/14/2005 - 01/07/2008
RESOURCE HORIZONS GROUP LLC (MARIETTA GA)
GA
03/23/2004 - 06/03/2005
THE STRATEGIC FINANCIAL ALLIANCE, INC. (ATLANTA GA)
GA
01/05/2004 - 03/23/2004
VALUBOND SECURITIES, INC. (ATLANTA GA)
MI
08/11/2003 - 02/10/2004
H&R BLOCK FINANCIAL ADVISORS, INC. (DETROIT MI)
MD
11/01/2002 - 08/14/2003
THE ADVISORS GROUP, INC. (BETHESDA MD)
MN
05/14/1999 - 07/20/2001
COMPULIFE INVESTOR SERVICES, INC. (ST. CLOUD MN)
FL
04/18/1997 - 04/13/1999
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
NY
02/27/1991 - 04/23/1997
SMITH BARNEY INC. (NEW YORK NY)
NA
08/25/1989 - 01/14/1991
PRUDENTIAL-BACHE SECURITIES INC.
NY
10/05/1988 - 01/14/1991
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NY
01/27/1989 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
BC
Issued 06/19/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 09/15/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/27/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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