Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Garland Trafton is a financial advisor with Stifel, Nicolaus & Company, Inc. Katherine has been in the financial services industry since 1998. Katherine holds both Series 63 and 65 licenses and is registered with the state of Minnesota, as well as several others. Katherine is also registered with FINRA. The firm provides services to a variety of clients including individuals, families, corporations, and institutions. Katherine specializes in retirement planning, college savings, and investment management.
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.
1
2
MN
04/08/2020 - Present
Stifel, Nicolaus & Company, Inc. (WAYZATA MN)
MN
01/01/2001 - 04/16/2001
MILLER JOHNSON STEICHEN KINNARD, INC. (MINNEAPOLIS MN)
MN
02/19/1998 - 01/01/2001
MILLER, JOHNSON & KUEHN, INCORPORATED (MINNEAPOLIS MN)
IA
Issued 05/21/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/18/1998
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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