Katherine S. Fleischmann
Professional summary
Katherine Suzanne Fleischmann, who also goes by Katherine Suzanne Kunath, Katherine S Martin, Katherine Suzanne Martin, is a registered financial professional currently at RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Wayzata, Minnesota.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2007. Katherine has worked at 5 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Suzanne Fleischmann's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2020 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
September 21, 2016 - December 31, 2016
KEY INVESTMENT SERVICES LLC
September 21, 2016 - August 28, 2020
KEY INVESTMENT SERVICES LLC
June 2, 2014 - September 21, 2016
LPL FINANCIAL LLC
June 2, 2014 - September 21, 2016
LPL FINANCIAL LLC
August 23, 2013 - June 16, 2014
WADDELL & REED
June 25, 2013 - June 16, 2014
WADDELL & REED
December 3, 2012 - June 24, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 9, 2012 - June 24, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 27, 2007 - December 21, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
CRD#: 21771 / SEC#: , 8-39227
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENT MANAGEMENT, LLC | CORPORATE PARENT OF APPLICANT | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| ERICKSON, ROSS EDWARD | DIRECTOR | 3003283 |
| JUNG, BRAD EDWARD | CHAIRMAN AND PRESIDENT | 2419757 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
Red Flags
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