Katherine Jean Ochs
Professional Summary
Katherine Jean Ochs, who also goes by Katherine Ochs, Katie Ochs, is a registered financial advisor currently at BOFA SECURITIES, INC. located in Chicago, Illinois. Katherine is registered as a RR (Registered Representative) and started their career in finance in 2017. Katherine has worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Katherine Ochs, Katie Ochs
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Years of Experience
9 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Current Firm
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.
Contact Information
Main Address
One Bryant Park, New York, NY 10036Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255Phone Number
(646) 743-2734Established
Delaware since 09/01/2015Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
317SEC notice filing (2 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 2 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NB HOLDINGS CORPORATION | SOLE STOCKHOLDER | — |
| BHATIA, KASHYAP P | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 6110368 |
| BOURNE, STUART MARK | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 6611063 |
| CHEPUCAVAGE, LAURA P | DIRECTOR, STATE DESIGNATED PRINCIPAL | 4672504 |
| GADKARI, SARANG RAJAN | DIRECTOR | 2522409 |
| MCQUEEN, MATTHEW C | DIRECTOR | 4204052 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| RAE, GLEN ALEXANDER | CHIEF LEGAL OFFICER | 6300829 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| STAGG, JENNIFER C | CHIEF COMPLIANCE OFFICER / REGISTERED INVESTMENT ADVISER | 2597167 |
Disclosures
Regulatory Event
76Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
BOFA SECURITIES, INC. | BOFAML SECURITIES, INC.
State Registrations and Notice Filings
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/10/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
(5/20/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2017About the Series 79 examSRO Registrations
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
CRS (Client Relationship Summary) - BD
Click below to view Katherine Jean Ochs's CRS (Customer Relationship Summary).
Similar Advisors
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.