Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kate? Claim Your ProfileKate Elizabeth Lunn is a financial advisor with Wells Fargo Clearing Services, LLC. Kate has been in the industry since 2004 and has experience with UBS Financial Services Inc. and RBC Dain Rauscher Inc.. Kate is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 9, 10, 66, and SIE licenses. Kate is also a Certified Financial Planner. Kate helps clients with a variety of financial planning needs, including retirement planning, investment management, and estate planning. Kate is committed to providing her clients with personalized financial advice and guidance.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TN
08/29/2014 - Present
Wells Fargo Clearing Services, LLC (BRENTWOOD TN)
CA
06/02/2004 - 09/08/2014
UBS FINANCIAL SERVICES INC. (FRESNO CA)
NY
02/09/2004 - 05/28/2004
RBC DAIN RAUSCHER INC. (NEW YORK NY)
BOTH
Issued 03/20/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/08/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/08/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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