Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Roulston is an investment advisor representative with Raymond James & Associates, Inc. in ST. PETERSBURG, FL. Katherine has been in the industry since 2000. Katherine is registered with FINRA and is a registered investment advisor in Florida. Katherine has passed the Series 63, Series 7 and SIE exams. Katherine has experience with clients such as high-net-worth individuals, insurance companies, charitable organizations, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses and individuals other than high-net-worth.
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
FL
02/17/2015 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
FL
07/27/2012 - 02/03/2015
WELLS FARGO ADVISORS, LLC (TRINITY FL)
FL
06/01/2009 - 07/11/2012
MORGAN STANLEY SMITH BARNEY (CLEARWATER FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PALM HARBOR FL)
FL
02/22/2007 - 04/02/2007
MORGAN STANLEY DW INC. (PALM HARBOR FL)
FL
10/17/2000 - 02/20/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CLEARWATER FL)
BC
Issued 10/26/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2000
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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