Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Elizabeth Lombardi is a financial professional with over five years of experience in the industry. Katherine is registered in North Carolina as a broker-dealer and holds the Series 7, Series 63, Series 99, and SIE licenses. Currently, Katherine is affiliated with Nuveen Securities, LLC and Tiaa-Cref Individual & Institutional Services, LLC in Charlotte, North Carolina. Katherine was previously affiliated with WELLS FARGO CLEARING SERVICES, LLC in Charlotte, North Carolina.
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.
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.
1
2
NC
12/07/2022 - Present
Nuveen Securities, LLC (CHARLOTTE NC)
NC
04/04/2017 - 10/13/2022
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
BC
Issued 10/14/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Katherine Lombardi is the right advisor for you? Invested Better is here to help.
