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Katherine Elizabeth Peabody

Dunham

San Diego, CA

San Diego, CA

San Diego, CA

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Current Employers
Dunham

6256 Greenwich Drive Suite 550, San Diego, CA 92122 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-06-27
  • CA RA
    APPROVED
    Since 2023-06-27

Branch Locations

6256 Greenwich Drive Suite 550, San Diego, CA 92122 • United States

6256 Greenwich Drive Suite 550, San Diego, CA 92122 • UNITED STATES

6256 Greenwich Drive Suite 550, San Diego, CA 92122 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fidelity Investments Mclean VA 08/2022 06/2023
Student Richmond VA 07/2000 08/2022
Dunham & Associates Investment, Counsel, Inc. San Diego CA 06/2023 Present
  • 08/2022 → 06/2023
    Fidelity Investments
    Mclean, VA
  • 07/2000 → 08/2022
    Student
    Richmond, VA
  • 06/2023 → Present
    Dunham & Associates Investment, Counsel, Inc.
    San Diego, CA
Previous Registrations
  • 2023-02-23 → 2023-05-31
    Fidelity Personal And Workplace Advisors
    Tysons Corner, VA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-13
S63 Uniform Securities Agent State Law Examination 2023-01-30
  • S66 Uniform Combined State Law Examination
    2023-02-13
  • S63 Uniform Securities Agent State Law Examination
    2023-01-30
Other Names
  • Katherine Elizabeth Peabody
  • Katherine Peabody

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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