Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine McSween is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Katherine has over 15 years of experience in the financial services industry. Katherine is licensed to provide financial advice in Virginia, Texas, and other states, with registrations dating back to 2008. Katherine has a strong track record of success in providing comprehensive financial planning and investment management services to individuals, families, and businesses. Katherine is committed to providing her clients with personalized attention and a high level of service. Katherine offers a variety of services, including financial planning, investment management, and retirement planning. Katherine also has expertise in portfolio management for businesses and individuals, pension consulting, selection of other advisors, educational seminars, and other financial advisory services.
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
VA
06/07/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ALEXANDRIA VA)
VA
06/01/2009 - 06/28/2013
MORGAN STANLEY (ALEXANDRIA VA)
VA
05/02/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALEXANDRIA VA)
BOTH
Issued 06/06/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/14/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 05/01/2008
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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