Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Spratt is a financial advisor with over 20 years of experience in the financial services industry. Katherine has held a variety of roles in the industry, including positions at Mercer Allied Company, L.P., National Financial Services LLC, MML Investors Services, Inc., Further Lane Securities, L.P., and Schonfeld Securities, LLC. Katherine is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is licensed to provide investment advice in a number of states. Katherine holds several industry certifications, including Series 7, Series 24, and Series 66.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
08/31/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARATOGA SPRINGS NY)
NY
02/11/2020 - 11/24/2020
MERCER ALLIED COMPANY, L.P. (LATHAM NY)
NJ
01/02/2009 - 04/13/2010
NATIONAL FINANCIAL SERVICES LLC (JERSEY CITY NJ)
MA
04/05/2007 - 07/28/2008
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NY
09/01/2005 - 05/17/2006
FURTHER LANE SECURITIES, L.P. (NEW YORK NY)
NY
03/12/2001 - 12/05/2003
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
11/24/1995 - 12/08/1995
WALL STREET INVESTOR SERVICES (NEW YORK NY)
BOTH
Issued 10/12/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/27/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/2007
Series 24 - General Securities Principal Examination
BC
Issued 02/11/2020
Series 7TO - General Securities Representative Examination
BC
Issued 12/27/2019
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2001
Series 7 - General Securities Representative Examination
BC
Issued 01/16/2001
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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