Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katelyn? Claim Your ProfileKatelyn Whalen is an investment advisor representative with NFP Retirement Inc., based in Charlotte, NC. Katelyn has been in the industry since 2014 and has a Series 63, 65, 7, and SIE license. Katelyn previously worked at GWFS Equities, Inc., Ameritas Investment Company, LLC, and Sterling Capital Distributors, LLC. Katelyn has a diverse background with experience in both the broker-dealer and investment advisor world. Katelyn specializes in working with individuals, families, and retirement plans, providing financial planning and investment advisory services.
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.
Personalized portfolio management to meet individual financial objectives.
Research reports on 401(k) plans / diligence on investment lineups
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.
A percentage of the total value of assets under management is charged.
1
2
NC
10/19/2021 - Present
NFP Retirement Inc. (Charlotte NC)
CO
07/20/2021 - 10/04/2021
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
NE
12/04/2019 - 07/09/2021
AMERITAS INVESTMENT COMPANY, LLC (LINCOLN NE)
NC
01/27/2017 - 11/05/2019
STERLING CAPITAL DISTRIBUTORS, LLC (CHARLOTTE NC)
MA
12/18/2013 - 12/01/2016
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. (BOSTON MA)
IA
Issued 02/14/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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