Katharine E. Gill
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.
Katharine Eleanor Gill, who also goes by Katharine Gillseccia, Katharine Gill, Katharine Hemstreet, Katharine Law, was a registered financial professional .
Katharine is a previously registered financial professional and started their career in finance in 2002. Katharine had worked at 7 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2021 - March 16, 2023
ELECTRONIC TRANSACTION CLEARING, INC.
September 24, 2021 - August 16, 2023
APEX CLEARING CORPORATION
July 26, 2013 - December 5, 2019
BARCLAYS CAPITAL INC.
January 3, 2011 - August 6, 2013
NOMURA SECURITIES INTERNATIONAL, INC.
December 18, 2008 - January 3, 2011
AUTOMATED EQUITY FINANCE MARKETS, INC.
August 5, 2008 - December 26, 2008
QUADRISERV SECURITIES, INC.
August 7, 2002 - August 6, 2007
CIBC WORLD MARKETS CORP.
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
Current Firm
ELECTRONIC TRANSACTION CLEARING, INC.
CRD#: 146122 / SEC#: , 8-67790
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APEX FINTECH SOLUTIONS INC. | OWNER | |
| BECKERMAN, JARRED | FINOP, PRINCIPAL FINANCIAL OFFICER | 6683745 |
| BRENNAN, WILLIAM ROBERT | PRESIDENT & CEO | 2447538 |
| COPPOLETTA, JAY CHRISTIAN | BOARD MEMBER | 6049053 |
| RAY, TERRY DAVID | PRINCIPAL OPERATIONS OFFICER | 5295510 |
| ROBBINS, JOHN FRANKLYN | CHIEF COMPLIANCE OFFICER | 1967073 |
| SPRINGER, CHRISTOPHER MICHAEL | CFO, CAO | 1814987 |
Disclosures
| Regulatory Event | 61 |
Red Flags
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