Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Smith is a financial advisor registered with Wells Fargo Clearing Services, LLC. Katherine has been in the financial services industry since 1984 and has experience with both retail and institutional clients. She is a Registered Representative and Investment Adviser Representative, and holds the Series 7, Series 63, and Series 65 licenses. Katherine's focus is on providing financial advice to individuals, families, and businesses. She is committed to understanding her clients' financial goals and providing them with customized solutions to meet their needs. Katherine is also a Trustee for her mother's trust and a co-trustee for her brother-in-law's trust, giving her experience managing trusts. She is passionate about helping her clients achieve their financial goals and dreams.
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
FL
10/01/2000 - Present
Wells Fargo Clearing Services, LLC (WINTER PARK FL)
NC
05/18/1993 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
WI
05/23/1990 - 05/20/1993
INVEST FINANCIAL CORPORATION (APPLETON WI)
NY
05/14/1988 - 06/11/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
09/21/1984 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 12/04/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/13/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1984
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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