Katherine Mary Baumann

Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2023 → Present
  Oppenheimer & Co. Inc.
  Chicago, IL
• 02/2022 → 09/2023
  Lpl Financial
  Madison, WI
• 05/2021 → 05/2022
  Alan Koa Salon & Spa
  Madison, WI
• 06/2018 → 08/2020
  Self Employed Care Giver
  Eau Claire, WI
• 04/2017 → 06/2018
  Action City
  Eau Claire, WI
• 09/2019 → 05/2023
  University Of Wisconsin - Madison
  Madison, WI
• 09/2006 → 05/2019
  Eau Claire Area School District
  Eau Claire, WI

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-02-06
• S63 Uniform Securities Agent State Law Examination
  2024-05-24

Other Names

• Katherine M Baumann