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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 Elizabeth Davalos is a financial advisor with Raymond James & Associates, Inc. in San Jose, CA. Katherine has been in the industry since 2014 and holds the Series 7, Series 66 and SIE licenses. Katherine is a Certified Financial Planner and specializes in providing financial planning, portfolio management, and educational seminars. Katherine also has experience in providing investment advice to businesses and individuals. Katherine is registered to offer securities and investment advisory services in Arizona, California, Colorado, Florida, Illinois, Nevada, New York, Oregon, Texas, Utah, and Washington.
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.
Please see note in schedule d - miscellaneous
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
CA
04/20/2021 - Present
Raymond James & Associates, Inc. (San Jose CA)
CA
09/11/2014 - 05/29/2020
WELLS FARGO CLEARING SERVICES, LLC (SAN JOSE CA)
BOTH
Issued 10/02/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/11/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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