Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Del castillo is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc., in Scottsdale, AZ. Katherine has been in the financial services industry since 1998. Katherine is registered with the state of Texas and California as a registered representative and investment advisor representative, and with the state of Alaska, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, Wisconsin, and Wyoming as a registered representative. Katherine has passed the Series 7, Series 63, Series 66 and SIE exams. Katherine has previously worked at Neuberger Berman, LLC and Mitchell Hutchins Asset Management Inc.
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
AZ
01/28/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SCOTTSDALE AZ)
NY
06/22/2007 - 08/21/2007
NEUBERGER BERMAN, LLC (NEW YORK NY)
NY
02/01/2001 - 04/10/2007
NEUBERGER BERMAN, LLC (NEW YORK NY)
NY
04/22/1998 - 02/01/2001
MITCHELL HUTCHINS ASSET MANAGEMENT INC. (NEW YORK NY)
BOTH
Issued 02/02/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/1998
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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