Katie D. Collins
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.
Katie Doreen Collins, who also goes by Katie Doreen Sanders, was a registered financial professional .
Katie is a previously registered financial professional and started their career in finance in 1999. Katie had worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2001 - November 19, 2008
BONDWAVE LLC
September 7, 1999 - July 3, 2024
FIRST TRUST PORTFOLIOS L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
BONDWAVE LLC
CRD#: 113229 / SEC#: 801-70049, 8-53299
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST TRUST PORTFOLIOS L.P. | SHAREHOLDER | |
| BOWEN, JAMES ALLEN | CHAIRMAN OF THE BOARD | 1123316 |
| BRADLEY, MARK RAYMOND | CHIEF FINANCIAL OFFICER | 1141683 |
| BROWN, KATHLEEN WIELAND | CHIEF COMPLIANCE OFFICER | 2000718 |
| CARR, GREGORY GERARD | SENIOR VICE PRESIDENT | 2210835 |
| COLEMAN, PETER EDWARD | DIRECTOR | 1276153 |
| DEFEO, MICHAEL ARTHUR | CHIEF OPERATING OFFICER | 2864756 |
| FITZGERALD, PATRICK MICHAEL | DIRECTOR | 4399309 |
| GRAHAM, RUSSELL JOHN | PRESIDENT/CEO | 2269812 |
| JARDINE, WILLIAM SCOTT | CORPORATE SECRETARY | 2609233 |
| LB I GROUP INC. | SHAREHOLDER | |
| ROGGENSACK, ANDREW SCOTT | DIRECTOR | 1582059 |
| SCHARF, JODY TODD | DIRECTOR | 1056976 |
| TRETER, MATTHEW RICART | SENIOR VICE PRESIDENT-TRADING | 2409195 |
| VOLLE, JONATHAN JAY | CHIEF INFORMATION OFFICER | 4468342 |
Red Flags
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