Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Clarke is a financial advisor at Raymond James & Associates, Inc. Katherine has been working in the financial services industry since June 18, 2007. Prior to joining Raymond James, Katherine worked at UBS Financial Services Inc. Katherine holds a Series 7, Series 9, Series 10, and Series 66 licenses. Katherine is registered to provide investment advice in Connecticut. Katherine specializes in providing financial planning, portfolio management for businesses and individuals, and selection of other advisors.
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.
Please see note in schedule d - miscellaneous
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
CT
05/01/2018 - Present
Raymond James & Associates, Inc. (WESTPORT CT)
CT
10/14/2005 - 08/25/2016
UBS FINANCIAL SERVICES INC. (STAMFORD CT)
BOTH
Issued 03/28/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/26/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/19/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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