Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Caplinger is a financial advisor with Fidelity Personal And Workplace Advisors. Katherine is licensed to offer securities advice in Texas. Katherine has been in the financial industry since 2015 and has experience with MFS Fund Distributors, Inc., Northwestern Mutual, and Charles Schwab & Co., Inc. Katherine has obtained Series 6, Series 7, and Series 63 licenses and holds the Certified Financial Planner designation. Katherine is a registered representative of Fidelity Personal And Workplace Advisors.
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.
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
TX
09/10/2024 - Present
Fidelity Personal AND Workplace Advisors (AUSTIN TX)
TX
11/29/2022 - 08/30/2024
CHARLES SCHWAB & CO., INC. (Austin TX)
MN
09/04/2019 - 11/29/2022
AMERIPRISE FINANCIAL SERVICES, LLC (MINNEAPOLIS MN)
MA
10/12/2015 - 09/04/2019
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
BC
Issued 06/18/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2016
Series 7 - General Securities Representative Examination
BC
Issued 10/12/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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