Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine M. Chu is a financial professional with over 20 years of experience in the industry. Katherine is currently registered with Charles Schwab & Co., Inc. Katherine has a strong background in financial services, with experience in both investment advising and brokerage. Katherine is licensed to provide investment advice in 52 states. Katherine is a Series 7, 9 and 63 licensed representative and holds the SIE designation.
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
TX
06/19/2000 - Present
Charles Schwab & CO., Inc. (Westlake TX)
BC
Issued 07/12/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/06/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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