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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2019-09-17
  • MA RA
    APPROVED
    Since 2019-09-17

Branch Locations

1666 Massachusetts Ave Ste 2, Lexington, MA 02420 • United States

Beverly, MA • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Citizens Bank Andover MA 02/2015 12/2017
Citizens Securities, Inc Andover MA 02/2015 12/2017
Citizens Bank Andover MA 12/2017 09/2019
Citizens Securities Inc. Andover MA 12/2017 09/2019
Lpl Financial Llc Lexington MA 09/2019 Present
Previous Registrations
Other Businesses

1. 09/20/2022 - North Shore YMCA - Not Investment Related - 1 sewall st salem ma - Outside/W-2 Employment - Instructor - Start Date - 06/20/2019 - 4 Hours Per Month/0 Hours During Securities Trading 2. 11/28/2023 - Empower Yoga Studio - Not Investment Related - North Beverly, MA - Outside/W-2 Employment - Start Date - 09/15/2022 - 4 Hours Per Month/0 Hours During Securities Trading 3. 02/26/2024 - KSF Financial LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 02/07/2024 - 2 Hours Per Month/ 0 Hours During Trading 4. 01/23/2026 - Northeast brokerage - Non-Variable Insurance - Producer - Investment Related - At Reported Business Location(s) - Start Date 01/08/2026 - 1 hour per month/ during trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-01-05
S63 Uniform Securities Agent State Law Examination 2011-07-12
  • S65 Uniform Investment Adviser Law Examination
    2017-01-05
  • S63 Uniform Securities Agent State Law Examination
    2011-07-12
Other Names
  • Katerina S Leon
  • Katerina Sergeevna Ferraro
  • Katerina S Muzyro
  • Katerina S Ferraro

View on SEC IAPD

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