Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Gross has been in the financial services industry since 1997. Currently, Katherine is a registered representative with Raymond James & Associates, Inc. Katherine has a wealth of experience, holding registrations in several states including Florida, Texas, and Illinois. Katherine is also a registered investment advisor representative with the firm. Katherine holds multiple industry licenses including Series 7, 6, 63, and 65. Katherine has worked with a variety of firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated and Franklin/Templeton Distributors, Inc. in the past.
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
05/12/2022 - Present
Raymond James & Associates, Inc. (St. Petersburg FL)
FL
07/03/2000 - 05/29/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAINT PETERSBURG FL)
CA
02/11/1997 - 04/28/2000
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
IA
Issued 05/18/2005
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/28/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2000
Series 7 - General Securities Representative Examination
BC
Issued 02/10/1997
Series 6 - Investment Company Products/Variable Contracts 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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