Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kate? Claim Your ProfileKate Stratton has been in the financial services industry since 2001. Kate is currently registered with Key Investment Services LLC and has previously been registered with Charles Schwab & Co., Inc., Douglas Financial LLC, Ascent Real Estate Securities, LLC, Old Mutual Investment Partners, and others. Kate holds Series 7, Series 24, Series 55 and SIE licenses. Kate specializes in working with individuals and other investment advisors.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
OH
02/05/2015 - Present
KEY Investment Services LLC (BROOKLYN OH)
CO
11/04/2011 - 02/13/2013
CHARLES SCHWAB & CO., INC. (ENGLEWOOD CO)
NY
09/02/2010 - 08/05/2011
DOUGLAS FINANCIAL LLC (NEW YORK NY)
CO
06/16/2008 - 04/27/2010
ASCENT REAL ESTATE SECURITIES, LLC (GREENWOOD VILLAGE CO)
CO
12/15/2005 - 10/02/2007
OLD MUTUAL INVESTMENT PARTNERS (DENVER CO)
CO
01/29/2004 - 07/19/2004
SCHIELD SECURITIES LLC (LITTLETON CO)
CO
10/29/2001 - 09/10/2003
SCHIELD SECURITIES LLC (LITTLETON CO)
CT
12/19/2000 - 03/23/2001
AUERBACH, POLLAK & RICHARDSON INC. (STAMFORD CT)
CO
09/29/1999 - 12/19/2000
AMERICAN FRONTEER FINANCIAL CORPORATION (DENVER CO)
FL
03/16/1998 - 09/14/1999
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
WI
04/09/1997 - 09/11/1997
INVEST FINANCIAL CORPORATION (APPLETON WI)
TN
02/04/1991 - 06/09/1993
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
BC
Issued 06/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/18/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/08/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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