Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Brown has been in the financial services industry since 2014. Katherine is currently registered with Wells Fargo Securities, LLC and holds the Series 6, 7, 22, 63, 79, 82, 99 and SIE licenses. Katherine was previously registered with RBC Capital Markets, LLC and SunTrust Robinson Humphrey, Inc. Katherine is registered with the state of North Carolina.
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.
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.
1
2
NC
08/10/2022 - Present
Wells Fargo Securities, LLC (CHARLOTTE NC)
NY
03/27/2018 - 08/02/2022
RBC CAPITAL MARKETS, LLC (NEW YORK NY)
GA
08/18/2014 - 03/22/2018
SUNTRUST ROBINSON HUMPHREY, INC. (ATLANTA GA)
BC
Issued 11/16/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/2014
Series 7 - General Securities Representative Examination
BC
Issued 08/18/2014
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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