Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Cowles is a financial professional with experience in the securities industry. Katherine has passed the Series 7, Series 63, Series 79, and SIE exams. Katherine has worked for TD Securities (USA) LLC and Cowen and Company. Katherine is currently registered with TD Securities (USA) LLC in New York.
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.
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.
1
2
NY
04/11/2024 - Present
TD Securities (usa) LLC (NEW YORK NY)
NY
03/07/2024 - 04/11/2024
TD SECURITIES (USA) LLC (NEW YORK NY)
NY
07/22/2023 - 04/11/2024
COWEN AND COMPANY (NEW YORK NY)
BC
Issued 06/23/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/19/2023
Series 7TO - General Securities Representative Examination
BC
Issued 07/22/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 04/27/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Katherine Cowles is the right advisor for you? Invested Better is here to help.
