Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katharine? Claim Your ProfileKatharine Rose Mueller is a financial advisor with over 22 years of experience in the financial services industry. Katharine is currently a Registered Representative with J.p. Morgan Securities LLC and has previously held roles with J.P. MORGAN SECURITIES INC., CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION, HARRIS ASSOCIATES SECURITIES L.P. and MR. STOCK, INC.. Katharine is a Series 7, 24, 4, 27, 63, 99TO, and SIE licensed professional and specializes in working with individuals, high-net-worth individuals, corporations, and businesses, including those with insurance companies, charitable organizations, pension and profit-sharing plans, and labor unions.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
OH
10/01/2008 - Present
J.p. Morgan Securities LLC (Columbus OH)
NY
03/01/2007 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IL
10/28/2005 - 02/01/2007
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
IL
11/08/2005 - 07/27/2006
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IL
05/17/2004 - 09/20/2005
HARRIS ASSOCIATES SECURITIES L.P. (CHICAGO IL)
IL
02/12/2003 - 05/18/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
CA
01/24/2000 - 10/11/2002
MR. STOCK, INC. (SAN FRANCISCO CA)
BC
Issued 01/31/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/26/2001
Series 27 - Financial and Operations Principal Examination
BC
Issued 03/15/2001
Series 4 - Registered Options Principal Examination
BC
Issued 08/01/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/2000
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, 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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