Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Rash is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Katherine has been in the financial industry since 1998 and has been associated with Merrill Lynch for over 12 years. Katherine holds FINRA licenses for Series 6, 7, 9, 10, 24 and 66. Katherine works with high-net-worth individuals, corporations, trusts, and other entities. Katherine specializes in financial planning, investment management, and retirement planning.
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
NC
04/08/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTE NC)
FL
11/02/2023 - 03/18/2024
CITIGROUP GLOBAL MARKETS INC. (Jacksonville FL)
FL
03/14/2011 - 09/25/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (JACKSONVILLE FL)
FL
05/13/2002 - 07/12/2010
AMERIPRISE FINANCIAL SERVICES, INC. (JACKSONVILLE FL)
MN
05/13/2002 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NY
07/19/1999 - 05/06/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
MA
12/08/1997 - 07/09/1999
SIGNATOR INVESTORS, INC. (BOSTON MA)
BOTH
Issued 12/09/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/14/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/13/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/27/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/30/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/05/1997
Series 6 - Investment Company Products/Variable Contracts 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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