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Katharine Desai

Fidelity Distributors Co. LLC

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About Katharine Desai

Katharine Desai is a financial advisor with over 20 years of experience in the financial services industry. Katharine currently works at Fidelity Distributors Co. LLC and has been with the firm since July 2023. Before joining Fidelity, Katharine worked at National Financial Services LLC, Fidelity Brokerage Services LLC, TD Ameritrade, Inc., NYLIFE Distributors LLC, AXA Distributors, LLC, Kelmore Investment Company, Inc., and American Express Financial Advisors Inc. Katharine is registered with the state of Massachusetts.

Firm Information

Katharine Desai is currently registered with Fidelity Distributors Co. LLC. Fidelity Distributors Co. LLC is a Limited Liability Company formed in January 2020. The firm is registered in all 50 states and the District of Columbia. It has been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

137

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Katharine Desai’s Registration & Firm History

MA

07/27/2023 - Present

Fidelity Distributors Co. LLC (BOSTON MA)

NJ

10/05/2010 - 07/10/2012

TD AMERITRADE, INC. (JERSEY CITY NJ)

NJ

10/08/2003 - 08/25/2010

NYLIFE DISTRIBUTORS LLC (JERSEY CITY NJ)

NC

04/04/2003 - 05/20/2003

AXA DISTRIBUTORS, LLC (CHARLOTTE NC)

CA

08/20/2001 - 03/31/2003

KELMOORE INVESTMENT COMPANY, INC. (PALO ALTO CA)

MN

12/18/2000 - 06/28/2001

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

12/18/2000 - 06/28/2001

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BOTH

Issued 12/22/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/31/2015

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/14/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Katharine Desai.
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