Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katharine? Claim Your ProfileKatharine Anne Charton is a registered representative with LPL Financial LLC. Katharine has been in the financial services industry since 2014. Katharine is registered in New York, and is licensed as a Series 6, Series 63, and Series 65 representative. Katharine has previously worked for Cambridge Investment Research, Inc., Cetera Advisor Networks LLC, and Northern Lights Distributors, LLC. Katharine also has experience as a tax preparer and accountant.
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.
Consulting and other non-discretionary advisory services
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.
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2
NY
01/12/2024 - Present
LPL Financial LLC (ALBANY NY)
NY
10/10/2017 - 11/12/2020
CAMBRIDGE INVESTMENT RESEARCH, INC. (ALBANY NY)
NY
02/05/2016 - 01/25/2017
CETERA ADVISOR NETWORKS LLC (ALBANY NY)
NY
03/31/2014 - 12/01/2015
NORTHERN LIGHTS DISTRIBUTORS, LLC (ALBANY NY)
IA
Issued 01/11/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/30/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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