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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Marie Roberts is a financial advisor who has been in the industry since 2015. She is currently registered with Robert W. Baird & Co. Inc., and has previously worked at J.J.B. HILLIARD, W.L. LYONS, LLC. Katherine Marie Roberts holds Series 63, 65, 7 and SIE licenses. She is currently registered in 36 states and the District of Columbia. Katherine Marie Roberts specializes in providing financial advice to individuals, businesses, and investment companies.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
IN
03/24/2021 - Present
Robert W. Baird & Co. Inc. (INDIANAPOLIS IN)
IN
06/16/2015 - 10/18/2019
J.J.B. HILLIARD, W.L. LYONS, LLC (INDIANAPOLIS IN)
IA
Issued 11/23/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/2015
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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