Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Gough is a financial advisor at Raymond James & Associates, Inc., with over 30 years of experience in the financial services industry. Katherine has worked in various roles at reputable firms such as CIBC World Markets Corp. and Stifel, Nicolaus & Company, Incorporated. Katherine's expertise and commitment to client success are evident in her extensive range of licenses and registrations, including Series 7, Series 63, and Series 66. Katherine's clients are primarily individuals, corporations, and pension plans, as well as insurance companies and charitable organizations. Katherine offers various financial advisory services, including financial planning, portfolio management, and investment management. Katherine has been recognized for her excellence in the financial services industry.
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.
Please see note in schedule d - miscellaneous
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
MO
09/26/2008 - Present
Raymond James & Associates, Inc. (ST LOUIS MO)
MO
01/14/2000 - 11/05/2007
ROBERT W. BAIRD & CO. INCORPORATED (ST. LOUIS MO)
NY
02/18/1994 - 01/28/2000
CIBC WORLD MARKETS CORP. (NEW YORK NY)
MO
11/01/1991 - 03/04/1994
STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)
BOTH
Issued 09/12/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/04/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/1991
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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