Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kate? Claim Your ProfileKate Martinez is a financial advisor with over 25 years of experience in the industry. Currently working as a registered representative for Merrill Lynch, Pierce, Fenner & Smith Inc., Kate has also worked for Wells Fargo Investments, LLC, Wells Fargo Securities Inc., White Pacific Securities, Inc., and Thomas F. White & Co., Incorporated. Kate has passed the Series 63 and 65 exams and holds a Series 7 license. In addition to working with individual clients, Kate also provides services to corporations, charitable organizations, and pension and profit-sharing plans.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
07/02/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN MATEO CA)
CA
05/02/2001 - 03/03/2008
WELLS FARGO INVESTMENTS, LLC (BELMONT CA)
CA
02/02/2001 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
CA
08/24/2000 - 02/05/2001
WHITE PACIFIC SECURITIES, INC. (SAN FRANCISCO CA)
CA
07/18/1997 - 01/26/2001
THOMAS F. WHITE & CO., INCORPORATED (SAN FRANCISCO CA)
IA
Issued 03/21/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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