Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Fuller Mendez is a financial professional with over 30 years of experience in the industry. She is currently registered as a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Katherine has a broad range of experience in the financial services industry, having previously worked for MILLER TABAK + CO., LLC, GARBAN LLC, FUNDAMENTAL BROKERS INC., and MABON, NUGENT & CO.. Katherine holds several securities licenses, including Series 7, 3, 55, 24, 63, and 66. She is also a licensed investment advisor in Connecticut and New York.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
04/19/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
09/28/2001 - 10/24/2014
MILLER TABAK + CO., LLC (NEW YORK NY)
NY
10/11/1989 - 07/12/2001
GARBAN LLC (NEW YORK NY)
NA
07/25/1987 - 10/13/1989
FUNDAMENTAL BROKERS INC.
NA
07/20/1983 - 04/23/1984
MABON, NUGENT & CO.
BOTH
Issued 05/01/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/25/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/03/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/21/1999
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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