Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Josephine Spain is a financial advisor with over 20 years of experience in the industry. Kathryn is currently registered with Investec Securities (us) LLC and holds Series 7, 9, 10, 63 and SIE licenses. Previously, Kathryn worked at Credit Suisse Securities (USA) LLC and Donaldson, Lufkin & Jenrette Securities Corporation. Kathryn is licensed in New York, Ohio, Texas and Virginia.
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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NY
09/08/2021 - Present
Investec Securities (us) LLC (NEW YORK NY)
NY
02/27/2001 - 05/14/2021
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
10/10/2000 - 12/13/2000
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NJ
06/12/2000 - 10/10/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 05/01/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/21/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/21/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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