Katherine C. Hickney
Professional summary
Katherine Corcoran Hickney, who also goes by Katherine Corcoran Hickney, Katherine Corcoran Horvath, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 1984. Katherine has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Corcoran Hickney's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 6, 2012 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262April 1, 2011 - April 3, 2012
MUTUAL SECURITIES, INC.
May 20, 2009 - April 4, 2012
STABLE TWO FINANCIAL LLC
October 31, 2007 - August 28, 2008
CRUDEN BAY CAPITAL PARTNERS
June 12, 1995 - July 29, 2004
FIDELITY DISTRIBUTORS COMPANY LLC
November 3, 1992 - May 15, 1995
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
April 3, 1984 - March 29, 1990
THE GREAT-WEST LIFE ASSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/6/2012)
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Exams
FINRA
New York Stock Exchange
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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