Katharine C. Hedlund
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 Clara Hedlund, who also goes by Katherine Hedlund, was a registered financial professional .
Katharine is a previously registered financial professional and started their career in finance in 2015. Katharine had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2022 - June 30, 2026
THL CAPITAL MARKETS, LLC
June 29, 2015 - June 19, 2022
J.P. MORGAN 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
THL CAPITAL MARKETS, LLC
CRD#: 316511 / SEC#: , 8-70807
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
