Katharine A. Wheeler
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 Ann Wheeler, who also goes by Katie Ann Wheeler, was a registered financial professional .
Katharine is a previously registered financial professional and started their career in finance in 2009. Katharine had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2022 - July 3, 2023
SI SECURITIES, LLC
March 23, 2020 - March 17, 2022
BLACKROCK INVESTMENTS, LLC
April 4, 2017 - May 8, 2019
WILLIAM BLAIR
March 8, 2012 - September 29, 2016
IMPERIAL CAPITAL, LLC
August 24, 2011 - March 13, 2012
MORGAN STANLEY
May 27, 2010 - March 13, 2012
MORGAN STANLEY
October 1, 2009 - May 4, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SI SECURITIES, LLC
CRD#: 170937 / SEC#: , 8-69440
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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