Katherine Bell
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.
Katherine Bell, who also goes by Kat Bell Bell, Kat Bell, Katherine Terese Bell, Katherine Braim, Katherine Bell Braim, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2007. Katherine had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2020 - August 29, 2022
ICE BONDS SECURITIES CORPORATION
September 16, 2015 - March 4, 2020
UBS SECURITIES LLC
May 3, 2013 - September 16, 2015
HSBC SECURITIES (USA) INC.
November 14, 2007 - April 1, 2013
UBS SECURITIES LLC
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
ICE BONDS SECURITIES CORPORATION
CRD#: 123635 / SEC#: , 8-65601
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDITTRADE INC. | SHAREHOLDER | |
| BORSTELMANN, PETER L | PRESIDENT/DIRECTOR | 4825965 |
| EILEN, JEFFREY PHILIP | CHIEF COMPLIANCE OFFICER | 6149705 |
| FICARRA, THOMAS JOSEPH | DIRECTOR | 5502295 |
| LANSING, RYAN WILLIAM | DIRECTOR | 5408916 |
| MCKISSICK, JOHN JOSEPH | PRINCIPAL OPERATIONS OFFICER | 4939416 |
| THOMASSON, SEAN JOSEPH | FINANCIAL PRINCIPAL | 5124423 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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