Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Oven is a financial advisor who has been active in the industry since 2007. Katherine is currently registered with Northwestern Mutual Investment Services, LLC and has also previously been registered with Commonwealth Financial Network, Ameritas Investment Corp., FISERV INVESTOR SERVICES, INC., and VANGUARD MARKETING CORPORATION. Katherine is licensed in Pennsylvania and holds Series 6, 7, 24, 63, and 65 licenses. Katherine's experience includes working with various clients, including individuals, businesses, and banking institutions. Katherine is also a registered principal with Northwestern Mutual Investment Services, LLC and has specialized knowledge in investment research and referrals to other advisors.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
PA
04/27/2021 - Present
Northwestern Mutual Investment Services, LLC (MOOSIC PA)
PA
03/29/2018 - 10/07/2020
COMMONWEALTH FINANCIAL NETWORK (Clarks Green PA)
PA
01/10/2014 - 04/27/2018
AMERITAS INVESTMENT CORP. (CLARKS GREEN PA)
TX
06/07/2001 - 05/04/2005
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
PA
05/19/1997 - 02/29/2000
VANGUARD MARKETING CORPORATION (MALVERN PA)
BC
Issued 09/01/2017
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/21/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/22/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2014
Series 7 - General Securities Representative Examination
BC
Issued 05/16/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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