Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katey? Claim Your ProfileKatey Roskopf is a financial advisor with Stifel, Nicolaus & Company, Inc. Katey has been in the industry since July 2006. Prior to joining Stifel, Nicolaus & Company, Inc., Katey was an advisor with LPL FINANCIAL LLC. She holds a Series 6, 7, and 66 license and the SIE. Katey provides financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles.
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
WI
04/26/2022 - Present
Stifel, Nicolaus & Company, Inc. (WEST BEND WI)
WI
06/06/2016 - 03/30/2022
LPL FINANCIAL LLC (OSHKOSH WI)
WI
10/01/2012 - 06/13/2016
J.P. MORGAN SECURITIES LLC (OSHKOSH WI)
WI
06/14/2006 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (OSHKOSH WI)
BOTH
Issued 03/10/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/28/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2009
Series 7 - General Securities Representative Examination
BC
Issued 06/13/2006
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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