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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 Norman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., with 35 years of experience in the industry. Katherine has been registered with FINRA since 1988. She is also a registered investment advisor, having passed the Uniform Investment Adviser Law Examination in 2002. Her specialties include portfolio management for individuals and businesses, pension consulting, and educational seminars. Katherine has a strong track record of helping clients achieve their financial goals. She is committed to providing personalized service and working closely with each client to develop a financial plan that meets their unique needs. Katherine has been active in the financial industry since 1989 and has held previous positions at PIPER JAFFRAY & CO., A. G. EDWARDS & SONS, INC., FEDERATION FOR FINANCIAL INDEPENDENCE, and LIND-WALDOCK SECURITIES, INC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MN
09/23/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAYZATA MN)
MN
03/05/1992 - 05/24/2006
PIPER JAFFRAY & CO. (WAYZATA MN)
MO
08/28/1991 - 03/09/1992
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NA
08/21/1990 - 05/20/1991
FEDERATION FOR FINANCIAL INDEPENDENCE
IL
07/12/1988 - 05/16/1990
LIND-WALDOCK SECURITIES, INC. (CHICAGO IL)
IA
Issued 01/02/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/16/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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