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KATHLEEN MARIE BALTRA
KATHLEEN BALTRA MRS, KATHLEEN M BENNIS, KATHLEEN MARIE BENNIS
CRD#: 5068022
IA
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BANCROFT CAPITAL, LLCCRD#: 290665 501 OFFICE CENTER DRIVE
SUITE 130
FORT WASHINGTON, PA 19034
SUITE 130
FORT WASHINGTON, PA 19034
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Disclosures
18
Years of Experience
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State Registrations
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California 6/6/2018
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New York 6/6/2018
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Connecticut 10/29/2019
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North Carolina 10/7/2019
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Florida 10/29/2019
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Ohio 10/29/2019
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Illinois 6/14/2018
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Oregon 3/2/2022
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Kansas 8/21/2019
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Pennsylvania 6/6/2018
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Maryland 6/6/2018
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Pennsylvania 6/6/2018
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Massachusetts 12/4/2018
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South Carolina 10/29/2019
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Minnesota 10/29/2019
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Texas 6/26/2018
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New Jersey 10/29/2019
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Virginia 6/26/2020
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New Mexico 4/15/2020
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Wisconsin 12/4/2018
SRO Registrations
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Registered with this firm since 6/6/2018
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Registered with this firm since 6/6/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/09/2016 - 06/01/2018 | Ardmore, PA | |
B | 06/18/2014 - 06/01/2018 | Ardmore, PA | |
IA | 06/30/2008 - 06/13/2014 | ARDMORE, PA | |
B | 06/23/2008 - 06/13/2014 | ARDMORE, PA | |
IA | 01/09/2007 - 06/25/2008 | ARDMORE, PA | |
B | 05/03/2006 - 06/25/2008 | ARDMORE, PA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.