Katherine L. Walker
Professional summary
Katherine Louise Walker, who also goes by Katherine Louise Johnson, Katie Johnson, is a registered financial professional currently at GVC CAPITAL LLC located in Centennial, Colorado.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 1998. Katherine has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, SIE, Series 7, Series 28 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Louise Walker's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 28, 2002 - Present
GVC CAPITAL LLC
October 26, 2000 - February 27, 2002
STANFORD GROUP COMPANY
May 14, 1998 - October 19, 2000
GLOBAL CAPITAL SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/28/2002)
(1/2/2025)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 28
Date: 1/30/2024
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
GVC CAPITAL LLC
CRD#: 38923 / SEC#: , 8-48465
Contact information
FINRA licenses (41 States and Territories)
Disclosures
| Regulatory Event | 4 |
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