Katherine Jane Gross
Investment Adviser Representative at RBC Capital Markets, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Katherine Jane Gross is an investment adviser representative with RBC Capital Markets, LLC in Seattle, WA, where they have been registered since 2023, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Texas, Virgin Islands, and Washington.
Office
Advisors at this office: 74
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas, Virgin Islands, Washington
- Broker:
53 states and territories
Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- RBC Capital Markets, LLCFeb 2023 – no end date reportedSeattle, WA
- EP Wealth Advisors, LLCDec 2021 – Feb 2023Kirkland, WA
- Soundmark Wealth Management, LLCMar 2021 – Dec 2021Kirkland, WA
- Barton Associates IncAug 2020 – Mar 2021Keene, NH
- Spanish Ministry of EducationOct 2019 – Jun 2020Madrid
- John HancockJan 2019 – Aug 2019Portsmouth, NH
- NextGen AmericaMay 2018 – Nov 2018Durham, NH
- University of New Hampshire Survey CenterSep 2016 – Dec 2017Durham, NH
- Town of SwanzeyJun 2017 – Aug 2017Swanzey, NH
- Ulta BeautyOct 2017 – Dec 2017Newington, NH
- Full-time EducationAug 2015 – May 2019Durham, NH
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About RBC Capital Markets, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Retirement Plan Rollovers, Retirement Income Planning, Portfolio Management, Estate Planning Services, Education Funding, Company Stock Option Planning, and Tax-Exempt Municipal Bonds.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 3,828
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-13059
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of April 17, 2026
View full firm profileOther advisors at RBC Capital Markets, LLC
Showing 12 of 3,828 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Katherine Jane Gross has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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