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Katherine Kwang Hwee Grimes

Raymond James & Associates, Inc.

Kirkland, WA

Seattle, WA

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2018-07-09
  • WA RA
    APPROVED
    Since 2018-07-09

Branch Locations

3500 Carillon Pt., Kirkland, WA 98033 • United States

Seattle, WA • 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
Raymond James & Associates Kirkland WA 01/2018 Present
Santander Private Banksing Seattle WA 07/2007 01/2018
  • 01/2018 → Present
    Raymond James & Associates
    Kirkland, WA
  • 07/2007 → 01/2018
    Santander Private Banksing
    Seattle, WA
Previous Registrations
  • 2003-01-02 → 2007-07-05
    Banc Of America Investment Services, Inc.
    Seattle, WA
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-07-02
S63 Uniform Securities Agent State Law Examination 1995-10-11
  • S66 Uniform Combined State Law Examination
    2018-07-02
  • S63 Uniform Securities Agent State Law Examination
    1995-10-11
Other Names
  • Katherine Chang
  • Katherine K H Grimes

View on SEC IAPD

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