Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katelyn? Claim Your ProfileKatelyn Rene Smith is a financial advisor with Stifel, Nicolaus & Company, Inc. based in Tacoma, Washington. Katelyn is registered with the state of Washington and Texas. Katelyn is licensed to offer financial advice and products across a variety of areas including financial planning, pension consulting, and portfolio management. Katelyn has over 10 years of experience in the financial services industry. Prior to joining Stifel, Nicolaus & Company, Inc., Katelyn worked as a financial advisor with RBC Capital Markets, LLC and City National Bank.
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.
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.
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
WA
06/20/2019 - Present
Stifel, Nicolaus & Company, Inc. (TACOMA WA)
WA
07/13/2013 - 07/08/2019
RBC CAPITAL MARKETS, LLC (Tacoma WA)
WA
10/24/2008 - 04/14/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SEATTLE WA)
BOTH
Issued 09/30/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/05/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2013
Series 7 - General Securities Representative Examination
BC
Issued 10/23/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX 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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