Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Clark is a financial advisor at UBS Financial Services Inc., based in Charlotte, North Carolina. Katherine has been in the financial services industry since 2023. Katherine has a wide range of experience, including working with individuals, corporations, and institutions. Katherine specializes in financial planning, portfolio management, and investment advice. Katherine holds the Series 7, 63, and 66 licenses, as well as the SIE certification. Katherine is committed to providing her clients with personalized and comprehensive financial advice.
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.
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.
See schedule d - miscellaneous
1
2
NC
07/05/2024 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
08/14/2023 - 03/11/2024
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
BOTH
Issued 07/05/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/22/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/17/2024
Series 7TO - General Securities Representative Examination
BC
Issued 08/14/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/05/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Katherine Clark is the right advisor for you? Invested Better is here to help.
