Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Margaret Scott is an investment professional with over 20 years of experience in the financial services industry. Katherine has been a registered representative with Stifel, Nicolaus & Company, Inc. since December 2015. Katherine has worked with several firms in the past, including Barclays Capital Inc. and Goldman, Sachs & Co. Katherine's areas of focus include financial planning, portfolio management, and pension consulting. She holds a Series 3, 7, 63, and 66 licenses and has been a member of FINRA since 1997.
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.
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.
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
IL
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (CHICAGO IL)
IL
11/21/2011 - 12/04/2015
BARCLAYS CAPITAL INC. (CHICAGO IL)
NY
04/06/2006 - 12/01/2011
GOLDMAN, SACHS & CO. (NEW YORK NY)
IL
07/24/1997 - 03/28/2006
FIRST ANALYSIS SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 10/15/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/14/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2014
Series 3 - National Commodity Futures Examination
BC
Issued 07/17/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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