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KK

Katherine J. Kullmann

BANCROFT CAPITAL
Fort Washington, PA 19034
Some features on this profile are disabled
CRD#: 6928557
KK

Professional summary

Katherine Julia Kullmann is a registered financial professional currently at BANCROFT CAPITAL, LLC located in Fort Washington, Pennsylvania.

Katherine is registered as a RR (Registered Representative) and started their career in finance in 2019. Katherine has worked at 3 firms and has passed the Series 63, Series 79TO, Series 3, Series 52TO, Series 7TO, SIE and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katherine Julia Kullmann's CRS (Customer Relationship Summary).
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®
None

Experience

Current

May 8, 2025 - Present

BANCROFT CAPITAL, LLC

Office #1: 501 Office Center Drive, Suite 130, Fort Washington, PA 19034
RIA
BD
CRD#: 290665
Fort Washington, PA
Past

June 5, 2024 - May 14, 2025

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

August 3, 2019 - May 17, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
(5/8/2025)
RR
Arizona
(5/8/2025)
RR
Arkansas
(5/8/2025)
RR
California
(5/8/2025)
RR
Colorado
(5/8/2025)
RR
Connecticut
(5/8/2025)
RR
Delaware
(5/8/2025)
RR
Florida
(5/8/2025)
RR
Georgia
(5/8/2025)
RR
Illinois
(5/8/2025)
RR
Indiana
(5/8/2025)
RR
Iowa
(5/8/2025)
RR
Kansas
(5/8/2025)
RR
Kentucky
(5/8/2025)
RR
Maine
(5/8/2025)
RR
Maryland
(5/8/2025)
RR
Massachusetts
(5/8/2025)
RR
Michigan
(5/8/2025)
RR
Minnesota
(5/8/2025)
RR
Missouri
(5/8/2025)
RR
New Jersey
(5/8/2025)
RR
New Mexico
(5/8/2025)
RR
New York
(5/8/2025)
RR
North Carolina
(5/8/2025)
RR
Ohio
(5/8/2025)
RR
Oklahoma
(5/8/2025)
RR
Oregon
(5/8/2025)
RR
Pennsylvania
(5/8/2025)
RR
South Carolina
(5/8/2025)
RR
Tennessee
(5/8/2025)
RR
Texas
(5/8/2025)
RR
Utah
(5/8/2025)
RR
Virginia
(5/8/2025)
RR
Wisconsin
(5/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/7/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/17/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 4/17/2021
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 52TO
Date: 8/28/2019
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/3/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/26/2019
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 53
Date: 4/27/2023
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BC
BANCROFT CAPITAL, LLC
BANCROFT CAPITAL, LLC

CRD#: 290665 / SEC#: , 8-70035

Pennsylvania
Registered Investment Advisory firm - SEC (4/13/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Mailing Address
501 Office Center Drive Suite 130, Fort Washington, PA 19034
Phone number
(484) 686-0346
Established
Pennsylvania since 07/04/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
4

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
QUINN, CAULDON DEANCEO4530968
BANCROFT HOLDINGS, LLCHOLDING CO.
LINDH, COLLEEN MARNIECCO/FINOP1912150

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.

Company Information

BANCROFT CAPITAL, LLC

CRD#: 290665Fort Washington, PA 19034

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