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Katherine Hartmann

Pershing LLC

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About Katherine Hartmann

Katherine Hartmann is a financial professional with over 5 years of experience in the industry. Katherine currently works as a registered representative at Pershing LLC, a firm with a focus on prime services. Katherine has experience with a variety of financial products and services. Katherine holds licenses in New Jersey and has a strong track record of success in helping her clients achieve their financial goals. Katherine is committed to providing her clients with the highest level of personalized service.

Firm Information

Katherine Hartmann is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Katherine Hartmann’s Registration & Firm History

NJ

04/28/2022 - Present

Pershing LLC (JERSEY CITY NJ)

NY

09/11/2018 - 04/04/2022

NYLIFE DISTRIBUTORS LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/13/2018

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/15/2024

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/11/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Katherine Hartmann.
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