Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Marie Mumma is a registered representative with Needham & Company, LLC. Kathleen has been in the industry since January 6, 2011. Kathleen is registered with FINRA and is licensed to provide securities products in the state of New York. Kathleen works out of the Needham & Company, LLC office located in New York City. Kathleen is licensed to sell securities products in the following states: NY.
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.
Securities research
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
Pursuant to csa agreements
1
2
NY
01/07/2011 - Present
Needham & Company, LLC (NEW YORK NY)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
Not sure Kathleen Mumma is the right advisor for you? Invested Better is here to help.
