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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katharine? Claim Your ProfileKatharine Emory Osborne is a financial advisor with RBC Capital Markets, LLC. Katharine has been in the industry since 2005 and has a broad range of experience serving clients with their financial needs. Katharine is registered in 42 states and has passed both the Series 6 and Series 7 exams, as well as the SIE exam. Katharine is also a registered Investment Advisor in both Texas and North Carolina. In her previous roles, Katharine worked for MML Investors Services, Inc. and Vanguard Marketing Corporation.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
04/27/2016 - Present
RBC Capital Markets, LLC (CHARLOTTE NC)
NC
04/08/2008 - 06/01/2009
MML INVESTORS SERVICES, INC. (CHARLOTTE NC)
NC
02/09/2005 - 02/14/2008
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BOTH
Issued 12/21/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/25/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/17/2007
Series 7 - General Securities Representative Examination
BC
Issued 06/17/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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