Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Mallery is a financial advisor with over 30 years of experience in the industry. Katherine is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with the firm since 2011. Prior to that, Katherine was with WELLS FARGO ADVISORS, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Katherine holds several licenses and certifications including Series 7, Series 63, and Series 65. Katherine provides a variety of financial services including portfolio management, financial planning, and retirement 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.
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
09/26/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (VIRGINIA BEACH VA)
VA
09/12/2007 - 01/04/2012
WELLS FARGO ADVISORS, LLC (VIRGINIA BEACH VA)
VA
04/09/1998 - 09/13/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (VIRGINIA BEACH VA)
NC
09/18/1997 - 04/17/1998
INTERSTATE/JOHNSON LANE CORPORATION (CHARLOTTE NC)
NY
04/22/1997 - 09/15/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
12/02/1996 - 04/24/1997
AMERICAN FUNDS DISTRIBUTORS, INC. (LOS ANGELES CA)
VA
05/24/1995 - 12/31/1995
INVESTORS SECURITY COMPANY, INC. (SUFFOLK VA)
NY
04/25/1994 - 04/28/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/27/1986 - 06/03/1992
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
07/26/1984 - 06/17/1986
KIDDER, PEABODY & CO. INCORPORATED
IA
Issued 02/25/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1984
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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