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Kate Grafstein

Barclays Capital Inc.

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About Kate Grafstein

Kate Grafstein is a financial advisor with over 10 years of experience in the industry. Kate is currently registered with Barclays Capital Inc. Prior to joining Barclays Capital Inc., Kate was a financial advisor at COADY DIEMAR PARTNERS, LLC. Kate holds the Series 7, Series 63, Series 86 and Series 87 licenses. Kate is registered in all states and has a strong track record of success in helping clients achieve their financial goals.

Firm Information

Kate Grafstein is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Kate Grafstein’s Registration & Firm History

NY

04/12/2010 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

12/23/2008 - 05/05/2010

COADY DIEMAR PARTNERS, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/16/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/2010

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 10/25/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/22/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kate Grafstein.
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