Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Phillips is a financial advisor with over 10 years of experience in the financial services industry. Katherine has a strong background in providing financial planning and investment management services to individuals, families, and businesses. Katherine currently works for Osaic FA, Inc. and holds Series 7 and Series 63 licenses and is also a CERTIFIED FINANCIAL PLANNER™. Prior to joining Osaic FA, Inc., Katherine worked as a financial advisor for Wells Fargo Advisors, LLC and Confluence Wealth 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.
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.
Retirement plan consulting services provided on a limited basis.
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.
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2
WA
12/11/2020 - Present
Osaic FA, Inc. (KIRKLAND WA)
OR
04/15/2014 - 04/03/2019
WELLS FARGO CLEARING SERVICES, LLC (PORTLAND OR)
OR
09/21/2012 - 01/10/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PORTLAND OR)
OR
08/05/2011 - 09/28/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PORTLAND OR)
IA
Issued 06/01/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/26/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/04/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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