Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Marie Smith has been in the financial services industry since January 14, 1991. Katherine is currently registered with Calton & Associates, Inc. Katherine has been with the firm since June 30, 2023. Katherine has experience with Dominion Investor Services, Inc., EDI Financial, Inc. and Alliance Financial Group, Inc. Katherine is a Series 7, Series 24, Series 63, SIE and Series 99TO licensed representative. Katherine is licensed in 10 states. Katherine specializes in providing financial advice to individual and business clients.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
TX
06/30/2023 - Present
Calton & Associates, Inc. (Fort Worth TX)
TX
07/26/2013 - 07/21/2023
DOMINION INVESTOR SERVICES, INC. (FORT WORTH TX)
TX
03/31/2010 - 07/26/2013
EDI FINANCIAL, INC. (FORT WORTH TX)
TX
07/08/1991 - 04/01/2010
ALLIANCE FINANCIAL GROUP, INC. (FORT WORTH TX)
NA
01/15/1991 - 08/12/1991
CULLUM & SANDOW, INC.
BC
Issued 01/28/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/30/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/14/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Katherine Smith is the right advisor for you? Invested Better is here to help.
