Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katharine? Claim Your ProfileKatharine Massey Smith is a registered representative with Citigroup Global Markets Inc. Katharine has been in the securities industry since 2004. Katharine's previous employers include J.P. MORGAN SECURITIES LLC, VISION, and CITIGROUP GLOBAL MARKETS INC. Katharine holds Series 7, 9, 10, 63, and 66 licenses. Katharine's firm, Citigroup Global Markets Inc., manages over $50 billion in assets. Citigroup Global Markets Inc. provides a wide range of investment advisory services, including financial planning, portfolio management, asset allocation advice, and selection of other advisers. Katharine has extensive experience working with individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
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
VA
10/31/2016 - Present
Citigroup Global Markets Inc. (Gloucester VA)
NY
03/01/2013 - 05/14/2013
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
CT
03/17/2010 - 12/31/2011
VISION (STAMFORD CT)
NJ
12/02/2004 - 12/17/2008
CITIGROUP GLOBAL MARKETS INC. (FLORHAM PARK NJ)
BOTH
Issued 12/03/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/30/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/09/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/05/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/2004
Series 7 - General Securities 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
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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