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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Sheridan is a financial advisor with Stifel, Nicolaus & Company, Inc. Katherine has been working in the financial industry since 2010. Katherine's background includes experience at Barclays Capital Inc. and Morgan Stanley. Katherine is a Certified Financial Planner™ professional. Katherine has her Series 3, 7, 31, 57TO, and 66 licenses. Katherine is registered in 52 states and the District of Columbia. Katherine focuses on providing financial planning, portfolio management, and investment advisory services to a wide range of clients, including individuals, families, businesses, and institutions.
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
MA
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (BOSTON MA)
MA
10/15/2013 - 12/04/2015
BARCLAYS CAPITAL INC. (BOSTON MA)
MA
02/20/2012 - 10/23/2013
MORGAN STANLEY (BOSTON MA)
MA
11/27/2007 - 10/01/2009
J.P. MORGAN SECURITIES INC. (BOSTON MA)
BOTH
Issued 05/09/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/21/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/27/2022
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/02/2014
Series 3 - National Commodity Futures Examination
BC
Issued 10/19/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 02/17/2012
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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