Katherine C. Workman
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.
Katherine Chase Workman, who also goes by Katherine Workman, Katty Chase Workman, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2018. Katherine had worked at 3 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2021 - April 1, 2024
CARTA CAPITAL MARKETS, LLC
May 24, 2018 - July 1, 2021
BLACKROCK INVESTMENT MANAGEMENT, LLC
April 13, 2018 - July 1, 2021
BLACKROCK INVESTMENTS, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
CARTA CAPITAL MARKETS, LLC
CRD#: 304751 / SEC#: , 8-70396
Contact information
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.
