Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katharine? Claim Your ProfileKatharine Christian, a Certified Financial Planner with over 20 years of experience in the financial services industry, is a Registered Representative with Robert W. Baird & Co. Inc. Katharine's career spans multiple firms, including Hornor, Townsend & Kent, Inc., LPL Financial LLC, BBVA Compass Investment Solutions, Inc, Park Avenue Securities LLC, Citigroup Global Markets Inc., Wells Fargo Investments, LLC, Wells Fargo Securities Inc., Wells Fargo Brokerage Services, L.L.C., First Interstate Investments, Inc., Aetna Investment Services, Inc., and Aetna Life Insurance and Annuity Company. Katharine provides financial planning and portfolio management services to a diverse range of clients, including individuals, corporations, investment companies, and charitable organizations.
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.
Strategic management for diversified investment portfolios.
See schedule d
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
TX
04/13/2018 - Present
Robert W. Baird & Co. Inc. (Houston - Memorial City TX)
TX
02/18/2014 - 03/16/2018
HORNOR, TOWNSEND & KENT, INC. (HOUSTON TX)
TX
02/12/2013 - 07/26/2013
LPL FINANCIAL LLC (HOUSTON TX)
TX
03/10/2011 - 02/11/2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC (HOUSTON TX)
TX
02/15/2010 - 01/07/2011
PARK AVENUE SECURITIES LLC (HOUSTON TX)
TX
08/05/2005 - 09/02/2009
BBVA COMPASS INVESTMENT SOLUTIONS, INC (HOUSTON TX)
NY
08/21/2001 - 08/08/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CA
12/13/2000 - 09/19/2001
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
08/28/2000 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MN
11/03/2000 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
CA
08/19/1996 - 07/20/1999
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
NA
09/18/1995 - 08/19/1996
FIRST INTERSTATE INVESTMENTS,INC.
CT
10/15/1993 - 06/16/1994
AETNA INVESTMENT SERVICES, INC. (WINDSOR CT)
CT
08/17/1992 - 10/15/1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY (HARTFORD CT)
IA
Issued 06/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/21/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/1996
Series 7 - General Securities Representative Examination
BC
Issued 08/14/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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