KC
Katharine N. Christian
ROBERT W. BAIRD & CO.
Houston, TX 77024
Some features on this profile are disabled
CRD#: 2233655
KC
Professional summary
Katharine N Christian, CFP®, CPWA®, who also goes by Katharine N. Christian, Katharine Nye Christian, Kathy N Christian, Katharine N Levi, Kathy Levi, Katharine Ann Nye, is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Houston, Texas.
Katharine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Katharine has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katharine N. Christian | Katharine Nye Christian | Kathy N Christian | Katharine N Levi | Kathy Levi | Katharine Ann Nye
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Name: Rental Property; Not investment-related; Address: 10326 Emerald Trail, Houston, TX 77073; Nature: Rental Property; Role: Owner; Start Date: 8/2008; Appx hrs: 1 hour per month; Hrs during trading: 0; Duties: Landlord, collecting rent, pay mortgage, property maintenance. 2) Name: Rental Property; Not investment-related; Address: 1430 Oxberg Trail, Houston, TX 77073; Nature: Rental Property; Role: Owner; Start Date: 8/2008; Appx hrs: Less than 1 hour per month; Hrs during trading: 0; Duties: Landlord, collecting rent, pay mortgage, property maintenance.
CRS (Client Relationship Summary) - RIA
Click below to view Katharine N Christian's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katharine N Christian's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CPWA®
Start date: 2019-07-22
Expire date: 2023-06-30
Experience
Current
April 13, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 945 Bunker Hill Rd Suite 300, Houston, TX 77024RIA
BD
CRD#: 8158
Houston, TX
Current
March 16, 2018 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 945 Bunker Hill Rd Suite 300, Houston, TX 77024RIA
BD
CRD#: 8158
Houston, TX
Past
February 18, 2014 - March 16, 2018
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
HOUSTON, TX
Past
February 12, 2013 - July 26, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
HOUSTON, TX
Past
March 10, 2011 - February 11, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
HOUSTON, TX
Past
February 15, 2010 - January 7, 2011
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
HOUSTON, TX
Past
August 5, 2005 - September 2, 2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC
RIA
CRD#: 17086
HOUSTON, TX
Past
August 5, 2005 - September 2, 2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC
BD
CRD#: 17086
HOUSTON, TX
Past
August 21, 2001 - August 8, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
December 13, 2000 - September 19, 2001
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
November 3, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
August 28, 2000 - May 2, 2001
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
August 19, 1996 - July 20, 1999
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
September 18, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
BD
CRD#: 17101
Past
October 15, 1993 - June 16, 1994
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
August 17, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Texas(3/16/2018)
IAR
Texas(4/13/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
