Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Lyne Nelson is a financial advisor with Wells Fargo Clearing Services, LLC. Katherine has been in the financial services industry since August 16, 1994 and is licensed to provide investment advice in Maine and Texas. Katherine is a registered representative of Wells Fargo Clearing Services, LLC and holds the Series 63, Series 65, Series 7, and SIE licenses. Katherine's prior experience includes working at Advest, Inc. in Hartford, Connecticut. Katherine offers investment consulting services to institutional clients, financial planning, and portfolio management for individuals and businesses.
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.
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.
Investment consulting services to institutional clients
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
ME
07/16/2018 - Present
Wells Fargo Clearing Services, LLC (PORTLAND ME)
CT
08/17/1994 - 12/20/2005
ADVEST, INC. (HARTFORD CT)
IA
Issued 03/15/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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