Katie K. Gershon
Professional summary
Katie Karesh Gershon is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Woodbury, New York.
Katie is registered as a RR (Registered Representative) and started their career in finance in 2015. Katie has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katie Karesh Gershon's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2022 - Present
VANDERBILT SECURITIES, LLC
Office #1: 125 Froehlich Farm Blvd., Woodbury, NY 11797June 20, 2019 - March 21, 2022
CETERA INVESTMENT SERVICES LLC
April 23, 2015 - June 21, 2019
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/22/2022)
Exams
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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