Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Mendez is a financial advisor with Citigroup Global Markets Inc. Katherine has been in the industry since 2019. Katherine is registered in 53 states. Katherine has a Series 66, Series 7TO, Series 31, Series 10, and Series 9 license. Katherine previously worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Katherine is a registered Investment Advisor Representative. Katherine specializes in the areas of portfolio management, financial planning, selection of other advisors, and asset allocation advice.
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.
Asset allocation advice
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.
A percentage of the total value of assets under management is charged.
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2
NY
04/09/2024 - Present
Citigroup Global Markets Inc. (New York NY)
NJ
10/14/2019 - 04/01/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ISELIN NJ)
BOTH
Issued 11/20/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/04/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/24/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/06/2024
Series 31 - Futures Managed Funds Examination
BC
Issued 10/14/2019
Series 7TO - General Securities Representative Examination
BC
Issued 08/30/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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