KS
Katherine L. Schneider
BAIN CAPITAL MARKETS
New York, NY 10022
Some features on this profile are disabled
CRD#: 5573137
KS
Professional summary
Katherine L Schneider, who also goes by Kari Schneider, is a registered financial professional currently at BAIN CAPITAL MARKETS, LLC located in New York, New York.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2012. Katherine has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kari Schneider
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.
CRS (Client Relationship Summary) - BD
Click below to view Katherine L Schneider'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®
NoneExperience
Current
April 16, 2020 - Present
BAIN CAPITAL MARKETS, LLC
Office #1: 535 Madison Avenue 29th Floor, New York, NY 10022BD
CRD#: 175456
New York, NY
Past
June 26, 2012 - May 18, 2020
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
GREENWICH, CT
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
Alabama(4/16/2020)
RR
Alaska(4/16/2020)
RR
Arizona(4/16/2020)
RR
Arkansas(4/16/2020)
RR
California(4/16/2020)
RR
Colorado(4/16/2020)
RR
Connecticut(4/16/2020)
RR
Delaware(4/16/2020)
RR
District of Columbia(4/16/2020)
RR
Florida(4/16/2020)
RR
Georgia(4/16/2020)
RR
Hawaii(4/16/2020)
RR
Idaho(4/16/2020)
RR
Illinois(4/16/2020)
RR
Indiana(4/16/2020)
RR
Iowa(4/16/2020)
RR
Kansas(4/16/2020)
RR
Kentucky(4/16/2020)
RR
Louisiana(4/16/2020)
RR
Maine(4/16/2020)
RR
Maryland(4/16/2020)
RR
Massachusetts(4/16/2020)
RR
Michigan(4/16/2020)
RR
Minnesota(4/16/2020)
RR
Mississippi(4/16/2020)
RR
Missouri(4/16/2020)
RR
Montana(4/16/2020)
RR
Nebraska(4/16/2020)
RR
Nevada(4/16/2020)
RR
New Hampshire(4/16/2020)
RR
New Jersey(4/16/2020)
RR
New Mexico(4/16/2020)
RR
New York(4/16/2020)
RR
North Carolina(4/16/2020)
RR
North Dakota(4/16/2020)
RR
Ohio(4/16/2020)
RR
Oklahoma(4/16/2020)
RR
Oregon(4/16/2020)
RR
Pennsylvania(4/16/2020)
RR
Puerto Rico(4/16/2020)
RR
Rhode Island(4/16/2020)
RR
South Carolina(4/16/2020)
RR
South Dakota(4/16/2020)
RR
Tennessee(4/16/2020)
RR
Texas(4/16/2020)
RR
Utah(4/16/2020)
RR
Vermont(4/16/2020)
RR
Virgin Islands(4/16/2020)
RR
Virginia(4/16/2020)
RR
Washington(4/16/2020)
RR
West Virginia(4/16/2020)
RR
Wisconsin(4/16/2020)
RR
Wyoming(4/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BAIN CAPITAL MARKETS, LLC
BAIN CAPITAL DISTRIBUTORS, LLC | ST. JAMES FUND DISTRIBUTORS, LLC | BAIN CAPITAL MARKETS, LLC
CRD#: 175456 / SEC#: , 8-69599
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
200 Clarendon Street, Boston, MA 02116
Mailing Address
200 Clarendon Street, Boston, MA 02116
Phone number
(617) 516-2318
Established
Delaware since 02/03/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
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.
