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Katherine Peverley Bennett

Apex Clearing Corp.

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About Katherine Peverley Bennett

Katherine Peverley Bennett is a financial professional with over six years of experience in the industry. Katherine is currently registered with Apex Clearing Corp. and holds the Series 7, Series 63, and SIE licenses. Katherine was previously registered with ONEAMERICA SECURITIES, INC., PIMCO INVESTMENTS LLC, ALPS DISTRIBUTORS, INC., and ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.. Katherine has a broad background in the industry and is committed to providing clients with personalized financial advice and guidance.

Firm Information

Katherine Bennett is currently registered with Apex Clearing Corp.. Apex Clearing Corp. is a corporation formed in December 1978. The firm is registered in 53 states and the District of Columbia and has 1 approved SEC registration. Apex Clearing Corp. has been subject to 47 regulatory events and 8 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

126

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 Bennett’s Registration & Firm History

TX

05/03/2023 - Present

Apex Clearing Corp. (DALLAS TX)

TX

04/01/2022 - 04/29/2023

ONEAMERICA SECURITIES, INC. (Plano TX)

TX

06/02/2020 - 07/15/2021

PIMCO INVESTMENTS LLC (Austin TX)

CO

01/02/2019 - 05/26/2020

ALPS DISTRIBUTORS, INC. (DENVER CO)

CO

05/18/2017 - 12/31/2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. (DENVER CO)

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Licenses & Designations

IA

Issued 08/30/2021

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/07/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/18/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Katherine Peverley Bennett.
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