Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Whelan is a financial advisor with U.S. Bancorp Investments, Inc., and has been in the industry since 2001. Katherine is registered with the state of Minnesota as an Investment Advisor Representative and a Broker-Dealer. Katherine holds the Series 7, Series 9, Series 10, Series 24, Series 31, and Series 63 securities licenses, as well as the Series 65 investment advisor license. Katherine also has a SIE designation.
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.
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.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
MN
12/06/2013 - Present
U.s. Bancorp Investments, Inc. (Saint Paul MN)
MN
01/03/2011 - 11/07/2011
WELLS FARGO ADVISORS, LLC (MINNEAPOLIS MN)
MN
11/24/2008 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MINNEAPOLIS MN)
MN
12/06/2006 - 08/20/2007
STIFEL, NICOLAUS & COMPANY, INCORPORATED (MINNEAPOLIS MN)
MN
08/01/2001 - 12/06/2006
MILLER JOHNSON STEICHEN KINNARD, INC. (MINNEAPOLIS MN)
MN
12/15/2000 - 08/31/2001
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
CA
12/13/2000 - 08/31/2001
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MN
02/22/2000 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
NY
12/03/1998 - 03/03/2000
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
IA
Issued 06/27/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/27/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/14/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/26/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 11/30/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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