Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Henderson is a financial advisor with Wells Fargo Clearing Services, LLC. Katherine is a registered representative with FINRA, a member of SIPC and holds a Series 7, Series 9, Series 10, Series 63, Series 65, and Series 99TO license. Katherine has been a financial advisor since 1987, and currently serves clients in Arkansas and Missouri.
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.
Investment consulting services to institutional clients
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
AR
10/26/2022 - Present
Wells Fargo Clearing Services, LLC (HOT SPRINGS AR)
NY
09/14/1987 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
09/25/1985 - 12/12/1985
DELTA FINANCIAL INVESTMENT CORPORATION
IA
Issued 11/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/19/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/17/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/1995
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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