Katharine D. Weber
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Katharine Diana Weber, who also goes by Katharine Diana Buckley, Buckley Katherine Weber, Katherine Buckley Weber, was a registered financial professional .
Katharine is a previously registered financial professional and started their career in finance in 1986. Katharine had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 1995 - June 6, 2025
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
August 24, 1995 - November 27, 1995
MERIT CAPITAL ASSOCIATES, INC.
September 6, 1994 - August 9, 1995
THE NORTHSTAR GROUP, INC.
May 13, 1993 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
May 13, 1993 - September 15, 1994
LEHMAN GOVERNMENT SECURITIES INC.
May 13, 1993 - September 15, 1994
LEHMAN BROTHERS INC.
September 1, 1988 - April 23, 1993
S.G. WARBURG & CO. INC.
August 15, 1986 - September 1, 1988
S.G. WARBURG SECURITIES INC.
June 24, 1986 - September 11, 1986
S.G. WARBURG & CO. INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
CRD#: 39137 / SEC#: , 8-48552
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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