Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Waters is a financial advisor with Raymond James Financial Services Advisors, Inc. in Statesville, North Carolina. Katherine has been in the financial industry since 2008 and has experience providing financial advice to a wide range of clients. She is registered with FINRA and the state of North Carolina. Katherine has earned Series 6, 7, and 66 licenses and the SIE exam. Katherine is also a registered investment advisor in North Carolina. In addition to her work at Raymond James, Katherine also owns and operates Innergized Eats, a vending machine company. Katherine is dedicated to providing her clients with the highest level of service and personalized attention. She believes in building long-term relationships with her clients and helping them achieve their financial goals.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NC
11/03/2015 - Present
Raymond James Financial Services Advisors, Inc. (STATESVILLE NC)
FL
03/25/2013 - 07/15/2015
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
NC
10/06/2008 - 08/09/2012
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BOTH
Issued 09/20/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/14/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2011
Series 7 - General Securities Representative Examination
BC
Issued 10/03/2008
Series 6 - Investment Company Products/Variable Contracts 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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