Katharine Dudley has been Senior Vice President of Jemma Investment Advisors since February 2022, is a control person of the firm and directly owns under 5% of it.
Jemma Investment Advisors LLC is a Baltimore, MD firm with $140M under management, 324 clients and 5 advisers across 3 offices, as of its July 2026 filing.
Katharine Dudley is Senior Vice President, Client Advisor of Jemma Financial. She joined Jemma Financial in 2018 and has over 20 years of investment experience, most recently with PNC Wealth Management. She works with individuals through every stage of their financial journey, from wealth accumulation to wealth preservation.
- Jemma Financial ServicesCurrent– present · 6 yearsBaltimore, MD · Adviser representative · Firm CRD 284198
Professional designations
Listed by Jemma Investment Advisors
- Accredited Investment Fiduciary (AIF®)
Investment adviser representative registrations
Katharine Dudley is registered as an investment adviser representative in 7 states. The first approvals date from October 2020; the most recent is South Carolina, in September 2026.
- ColoradoSince 26 August 2022
- MaineSince 22 December 2022
- MarylandSince 20 October 2020
- New JerseySince 22 December 2022
- PennsylvaniaSince 27 January 2022
- South CarolinaSince 28 September 2026
- TexasSince 5 July 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 12 September 2022 |
| Series 7TO | General Securities Representative Examination | 2 August 2022 |
| SIE | Securities Industry Essentials Examination | 13 June 2022 |
| Series 65 | Uniform Investment Adviser Law Examination | 19 October 2020 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Katharine Wilson Dudley
- CRD
- 6437889
- Firm
- Jemma Investment Advisors · CRD 284198
- Role
- Senior Vice President
- Office
- 810 GLENEAGLES COURT, SUITE 109, Baltimore, MD 21286
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 2020
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- jemmafinancial.com
Where does Katharine Dudley work?
Katharine Dudley has been Senior Vice President of Jemma Investment Advisors LLC since February 2022, and is a control person of the firm.
Is Katharine Dudley a financial advisor?
Yes. Katharine Dudley has a current investment-adviser registration in Colorado, Maine, Maryland, New Jersey, Pennsylvania, South Carolina and Texas, through Jemma Investment Advisors since October 2020.
How many years of experience does Katharine Dudley have?
Katharine Dudley has 6 years in the financial industry, since October 2020, across 1 adviser firm.
What exams has Katharine Dudley passed?
Katharine Dudley has passed 4 licensing exams: the Series 65, SIE, Series 7TO and Series 63. The earliest, the Series 65, was passed in October 2020.
Where is Katharine Dudley based?
Katharine Dudley’s registered office is in Baltimore, MD.
Is Katharine Dudley registered with FINRA?
Yes. Katharine Dudley has a current broker registration, under CRD 6437889.
Source: FINRA BrokerCheck
How can I verify Katharine Dudley’s record?
Search CRD 6437889 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Katharine Dudley’s full registration record.
