Katherine B. Wicker
Professional summary
Katherine Bradley Wicker, who also goes by Katherine Lynn Bradley, Katherine Lynn Wicker, is a registered financial professional currently at GALLATIN CAPITAL LLC located in New York, New York.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 1982. Katherine has worked at 9 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Bradley Wicker's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 10, 2014 - Present
GALLATIN CAPITAL LLC
Office #1: 444 Madison Avenue 29th Floor, New York, NY 10022January 14, 2003 - November 19, 2012
ROCHDALE SECURITIES LLC
September 1, 1998 - July 9, 2002
ROBERTSON STEPHENS, INC.
April 3, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
January 21, 1998 - April 15, 1998
ROCHDALE SECURITIES LLC
September 8, 1992 - February 15, 1996
SALOMON BROTHERS INC.
May 8, 1986 - August 14, 1992
CREDIT SUISSE SECURITIES (USA) LLC
August 13, 1984 - May 20, 1986
INTEGRATED RESOURCES MARKETING, INC.
April 10, 1984 - June 12, 1984
CANTOR FITZGERALD & CO.
April 6, 1982 - March 2, 1984
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/10/2014)
Exams
Series 55
Date: 2/17/2004
Limited Representative-Equity Trader ExamFINRA
Current Firm
GALLATIN CAPITAL LLC
CRD#: 124738 / SEC#: , 8-65718
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 1 |
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