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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Flores is a financial advisor with Cetera Investment Advisers LLC. Katherine has been in the financial industry since 1982 and has experience with several firms, including MML Investors Services, LLC, MSI Financial Services, Inc., and LPL Financial LLC. Katherine is registered with FINRA and holds Series 6, 7, 24, 31, and 63 licenses, as well as the SIE designation. She is also registered with the states of Alabama, Arizona, California, Colorado, Florida, Hawaii, Idaho, Nevada, North Carolina, Pennsylvania, South Carolina, Texas, Utah, and Washington. Katherine is also an Investment Advisor Representative with Sovran Advisors, LLC. Katherine provides financial advice and solutions for her clients. She specializes in investment management, retirement planning, and financial 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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
02/22/2024 - Present
Cetera Investment Advisers LLC (COSTA MESA CA)
CA
03/25/2017 - 03/05/2024
MML INVESTORS SERVICES, LLC (Costa Mesa CA)
CA
06/08/2015 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (IRVINE CA)
CA
11/11/2005 - 06/10/2015
LPL FINANCIAL LLC (MISSION VIEJO CA)
MO
12/02/1992 - 11/17/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
12/04/1990 - 12/14/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
04/13/1984 - 12/11/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
07/25/1983 - 06/07/1984
WZW FINANCIAL SERVICES, INC.
NA
11/09/1982 - 08/30/1983
PRUCO SECURITIES CORPORATION
IA
Issued 06/26/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/13/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 08/20/1983
Series 7 - General Securities Representative Examination
BC
Issued 11/08/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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