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KH

Katie E. Hellmann

BRIGHTHOUSE SECURITIES
Charlotte, NC 28277
Some features on this profile are disabled
CRD#: 4839278
KH

Professional summary

Katie Elizabeth Hellmann, who also goes by Katie E Hellmann, Katie Elizabeth Wunderlich, is a registered financial professional currently at BRIGHTHOUSE SECURITIES, LLC located in Charlotte, North Carolina.

Katie is registered as a RR (Registered Representative) and started their career in finance in 2005. Katie has worked at 3 firms and has passed the Series 66, Series 63, Series 82TO, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katie E Hellmann | Katie Elizabeth Wunderlich

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katie Elizabeth Hellmann'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®
None

Experience

Current

April 18, 2023 - Present

BRIGHTHOUSE SECURITIES, LLC

Office #1: 11225 North Community House Road, Charlotte, NC 28277
BD
CRD#: 285300
Charlotte, NC
Past

August 26, 2022 - March 28, 2023

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
St. Louis, MO
Past

May 28, 2015 - June 27, 2022

EDWARD JONES

RIA
CRD#: 250
ST LOUIS, MO
Past

April 27, 2015 - June 27, 2022

EDWARD JONES

BD
CRD#: 250
ST LOUIS, MO
Past

July 30, 2009 - February 10, 2010

EDWARD JONES

RIA
CRD#: 250
NASHVILLE, TN
Past

June 6, 2005 - February 10, 2010

EDWARD JONES

BD
CRD#: 250
NASHVILLE, TN

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
Missouri
(4/18/2023)
RR
New York
(4/18/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/27/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 6/10/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 4/18/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/2015
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 12/19/2016
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/22/2016
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/31/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BRIGHTHOUSE SECURITIES, LLC
BRIGHTHOUSE SECURITIES, LLC

CRD#: 285300 / SEC#: , 8-69845

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
11225 North Community House Road, Charlotte, NC 28277
Mailing Address
11225 North Community House Road, Charlotte, NC 28277
Phone number
(800) 848-3854
Established
Delaware since 02/01/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BRIGHTHOUSE HOLDINGS, LLCSOLE MEMBER (SHAREHOLDER)
BEAULIEU, PHILIP JOHNATHONVICE PRESIDENT5300540
DAVIS, MICHAEL BENJAMINVICE PRESIDENT1742347
LAMBERT, MYLES JOSEPHCHAIRMAN PRESIDENT AND CEO3107551
LEINTZ, DONALD ANTHONYVICE PRESIDENT4374813
MACILVANE, KEVIN MICHAEL JRVICE PRESIDENT5164574
MARTINEZ, JOHN GREGORYPRINCIPAL FINANCIAL OFFICER2210722
MORGAN, JANET MARIEVICE PRESIDENT6770849
NIGRO, GERARD JOSEPHSENIOR VICE PRESIDENT1577003
PROHONIC, KRISTIN LEECHIEF COMPLIANCE OFFICER3048592

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.

Company Information

BRIGHTHOUSE SECURITIES, LLC

CRD#: 285300Charlotte, NC 28277

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