Katherine A. Tarbox
Professional summary
Katherine Alexandra Tarbox was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Katherine Alexandra Tarbox, who also goes by Katie Tarbox, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2019. Katherine had worked at 3 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2022 - February 23, 2023
LEERINK PARTNERS LLC
October 15, 2021 - March 30, 2022
RAYMOND JAMES & ASSOCIATES, INC.
August 21, 2019 - October 25, 2021
FTP 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
Series 79TO
Date: 8/21/2019
Investment Banking Registered Representative ExaminationCurrent Firm
LEERINK PARTNERS LLC
CRD#: 39011 / SEC#: 801-68264, 8-48535
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEERINK INTERMEDIATE HOLDINGS LLC | MEMBER | |
| CASEY, KEVIN MICHAEL | CHIEF COMPLIANCE OFFICER | 4754440 |
| DAVIDSON, THOMAS ADAM | SENIOR MANAGING DIRECTOR | 2248233 |
| DUBIN, DANIEL BARRY | SENIOR MANAGING DIRECTOR | 3231063 |
| GENTILE, JOSEPH ROBERT | CHIEF ADMINISTRATIVE OFFICER | 2545927 |
| HEINEMAN, STEVEN P | GENERAL COUNSEL | 5386950 |
| JURKIEWICZ, GREGG MARTIN | FINOP | 4440135 |
| LEERINK, JEFFREY ALAN | CEO | 1718986 |
| OLSON, ERIC PATRICK | PRINCIPAL OPERATIONS OFFICER | 2542584 |
Disclosures
| Regulatory Event | 6 |
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.
