Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherin? Claim Your ProfileKatherin G Romero is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Katherin has been in the securities industry since November 20, 2001. Katherin has passed the Series 7, Series 66, and SIE exams. Katherin is currently registered with the state of Florida, New Jersey, Pennsylvania and Texas. Katherin's registrations are in both the broker-dealer and investment advisor categories. Katherin specializes in providing financial planning, portfolio management, and pension consulting services to clients. Katherin has a proven track record of success in helping clients reach their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
NJ
10/28/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PRINCETON NJ)
BOTH
Issued 11/07/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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