Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Brandon is a registered investment advisor representative in Illinois. Katherine is a financial professional with over 9 years of experience in the financial services industry. Katherine has been with Charles Schwab & CO., Inc. since November 2015. Katherine holds Series 3, 4, 6, 7, 9, 10, 34, 63, and 65 licenses as well as the SIE. Katherine also has experience with METLIFE SECURITIES INC. and NEW ENGLAND SECURITIES. Katherine's current registrations include Series 65 with the state of Illinois. Katherine is a licensed agent in 27 states.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
MI
10/20/2017 - Present
Charles Schwab & CO., Inc. (Grand Rapids MI)
IN
01/02/2015 - 11/17/2015
METLIFE SECURITIES INC. (INDIANAPOLIS IN)
IN
04/25/2014 - 01/02/2015
NEW ENGLAND SECURITIES (INDIANAPOLIS IN)
IA
Issued 07/03/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/08/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2017
Series 4 - Registered Options Principal Examination
BC
Issued 02/27/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/17/2022
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/2017
Series 3 - National Commodity Futures Examination
BC
Issued 09/16/2014
Series 7 - General Securities Representative Examination
BC
Issued 03/25/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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