KG
Kathleen O. Gerdes
HARRIS ASSOCIATES SECURITIES L.P.
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2974665
KG
Professional summary
Kathleen Octavia Gerdes, who also goes by Katie Gerdes, is a registered financial professional currently at HARRIS ASSOCIATES SECURITIES L.P. located in Chicago, Illinois.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1997. Kathleen has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katie Gerdes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Octavia Gerdes'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®
NoneExperience
Current
April 13, 2006 - Present
HARRIS ASSOCIATES SECURITIES L.P.
Office #1: 111 S. Wacker Drive Suite 4600, Chicago, IL 60606Office #2: 111 S. Wacker Drive Suite 4600, Chicago, IL 60606BD
CRD#: 6959
Chicago, IL
Past
April 12, 2005 - March 28, 2006
AT INVESTOR SERVICES, INC.
BD
CRD#: 47837
NEW YORK, NY
Past
December 22, 2000 - March 28, 2006
CIBC PRIVATE WEALTH ADVISORS, INC.
RIA
CRD#: 109644
CHICAGO, IL
Past
January 1, 1998 - December 31, 2000
BOFA DISTRIBUTORS, INC.
BD
CRD#: 30683
BOSTON, MA
Past
December 15, 1997 - January 1, 1998
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(7/13/2006)
RR
Alaska(6/5/2006)
RR
Arizona(7/13/2006)
RR
Arkansas(7/13/2006)
RR
California(7/13/2006)
RR
Colorado(4/13/2006)
RR
Connecticut(4/18/2006)
RR
Delaware(7/13/2006)
RR
District of Columbia(4/13/2006)
RR
Florida(4/13/2006)
RR
Georgia(7/13/2006)
RR
Hawaii(7/13/2006)
RR
Idaho(7/13/2006)
RR
Illinois(4/25/2006)
RR
Indiana(7/13/2006)
RR
Iowa(7/13/2006)
RR
Kansas(7/13/2006)
RR
Kentucky(7/13/2006)
RR
Louisiana(4/13/2006)
RR
Maine(4/18/2006)
RR
Maryland(4/13/2006)
RR
Massachusetts(7/13/2006)
RR
Michigan(7/13/2006)
RR
Minnesota(7/13/2006)
RR
Mississippi(7/13/2006)
RR
Missouri(6/21/2006)
RR
Montana(7/13/2006)
RR
Nebraska(7/13/2006)
RR
Nevada(7/13/2006)
RR
New Hampshire(7/13/2006)
RR
New Jersey(4/13/2006)
RR
New Mexico(7/13/2006)
RR
New York(7/13/2006)
RR
North Carolina(7/13/2006)
RR
North Dakota(7/13/2006)
RR
Ohio(4/17/2006)
RR
Oklahoma(7/13/2006)
RR
Oregon(7/13/2006)
RR
Pennsylvania(7/13/2006)
RR
Puerto Rico(4/13/2006)
RR
Rhode Island(7/13/2006)
RR
South Carolina(7/13/2006)
RR
South Dakota(7/13/2006)
RR
Tennessee(7/13/2006)
RR
Texas(7/13/2006)
RR
Utah(7/13/2006)
RR
Vermont(4/13/2006)
RR
Virgin Islands(1/17/2007)
RR
Virginia(4/18/2006)
RR
Washington(7/13/2006)
RR
West Virginia(7/13/2006)
RR
Wisconsin(7/13/2006)
RR
Wyoming(7/13/2006)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HA
HARRIS ASSOCIATES SECURITIES L.P.
HARRIS ASSOCIATES SECURITIES L.P. | HARRIS ASSOCIATES, INC.
CRD#: 6959 / SEC#: , 8-19988
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Mailing Address
111 S. Wacker Drive Suite 4600, Chicago, IL 60606
Phone number
(312) 646-3600
Established
Delaware since 12/12/1986
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HARRIS ASSOCIATES L.P. | LIMITED PARTNER | |
| HARRIS ASSOCIATES INC. | GENERAL PARTNER | |
| KELLER, CHRISTOPHER WOLFGANG | PRESIDENT | 2865184 |
| PIETRAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 4278774 |
| WEBER, ZACHARY DAVID | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5483343 |
| WRIGHT, RANA JEWEL | CHIEF LEGAL AND ADMINISTRATIVE OFFICER | 6357277 |
Disclosures
| Regulatory Event | 2 |
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.
