Katherine M. Christman
Professional summary
Katherine M Christman, who also goes by Kate Brown, Katherine M Brown, is a registered financial professional currently at CIBC WORLD MARKETS CORP. located in Chicago, Illinois.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 1997. Katherine has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine M Christman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2017 - Present
CIBC WORLD MARKETS CORP.
Office #1: 181 West Madison Street 35th Floor, Chicago, IL 60602February 4, 2009 - October 31, 2017
GNV ADVISORS, LLC
April 24, 2006 - December 31, 2008
UHLMANN PRICE SECURITIES, LLC
April 15, 2003 - May 26, 2004
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - July 12, 2002
DEUTSCHE BANK SECURITIES INC.
October 6, 1997 - January 13, 2001
DB ALEX. BROWN LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/31/2017)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CIBC WORLD MARKETS CORP.
CRD#: 630 / SEC#: , 8-18333
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBC INC. | 100% SHAREHOLDER | |
| CONSOLA, PATRICK D | CHIEF COMPLIANCE OFFICER | 1133831 |
| DUBCZAK, ROMAN STEPAN | DIRECTOR | 5511542 |
| GRIFFITH, MARVIN SCOTT | PRINCIPAL FINANCIAL OFFICER | 1670889 |
| PERRY, ACHILLES M | GENERAL COUNSEL, ASSISTANT SECRETARY, DIRECTOR | 4183476 |
| PRICE, ERIC S | CHIEF EXECUTIVE OFFICER & PRESIDENT | 1985843 |
| TRABOULSI, ALFRED | MANAGING DIRECTOR, HEAD US INVESTMENT BANKING | 6594715 |
| ZELLERMAYER, MICHAEL | PRINCIPAL OPERATIONS OFFICER | 1662785 |
Disclosures
| Regulatory Event | 76 |
| Arbitration | 86 |
Red Flags
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