Kate A Mastalerz

610 Market Street, Philadelphia, PA 19106 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-06-10
PA	RA	APPROVED	2020-04-20

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Fred Alger & Co., Inc.	New York	NY	12/2014	11/2016
Fred Alger & Company, Incorporated	New York	NY	11/2016	04/2019
Principal Funds Distributor, Inc.	New York	NY	04/2019	02/2020
Macquarie Investment Management	Philadelphia	PA	03/2020	Present
Delaware Distributors, Lp	Philadelphia	PA	03/2020	Present
Macquarie Investment Management Business Trust	Philadelphia	PA	04/2020	Present
Nomura Capital Management Llc	New York	NY	06/2026	Present

12/2014 → 11/2016

Fred Alger & Co., Inc.

New York, NY
11/2016 → 04/2019

Fred Alger & Company, Incorporated

New York, NY
04/2019 → 02/2020

Principal Funds Distributor, Inc.

New York, NY
03/2020 → Present

Macquarie Investment Management

Philadelphia, PA
03/2020 → Present

Delaware Distributors, Lp

Philadelphia, PA
04/2020 → Present

Macquarie Investment Management Business Trust

Philadelphia, PA
06/2026 → Present

Nomura Capital Management Llc

New York, NY

2020-03-20 → 2020-04-20

Delaware Capital Management Advisers, Inc

Philadelphia, PA
2014-01-24 → 2014-12-11

Ubs Financial Services Inc.

New York, NY

Code	Exam	Date
S66	Uniform Combined State Law Examination	2014-01-17