Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Rinehart is a financial advisor with over 25 years of experience in the industry. Katherine has been registered with Morgan Stanley since 2022. Katherine has also held previous roles with Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC OF AMERICA INVESTMENT SERVICES, INC., Wells Fargo Investments, LLC, Wells Fargo Securities Inc. and BANC ONE SECURITIES CORPORATION. Katherine holds a variety of licenses and certifications including Series 6, Series 7, Series 9, Series 10, Series 63, and Series 66. Katherine is registered to provide investment advisory services in 54 states and jurisdictions. Katherine provides investment advisory services to individuals, corporations, institutions, and other clients.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
10/03/2022 - Present
Morgan Stanley (Austin TX)
TX
10/23/2009 - 10/04/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GEORGETOWN TX)
TX
11/26/2002 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GEORGETOWN TX)
CA
03/19/2001 - 12/03/2002
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
02/21/2001 - 05/07/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IL
10/23/1996 - 01/05/2000
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 05/29/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/29/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/24/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/15/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2001
Series 7 - General Securities Representative Examination
BC
Issued 10/22/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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