Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Nicole Schwan is a financial advisor who is currently registered with Charles Schwab & CO., Inc. Katherine has been in the financial services industry since 2021. Katherine is registered in all 50 states and the District of Columbia. Katherine has passed the Series 3, 7TO, 34, 63 and SIE exams. In addition to working with Charles Schwab, Katherine previously worked with TD Ameritrade, INC. Katherine is experienced in Financial Planning, Security Selection and Portfolio Management, and is able to work with clients through a variety of compensation models. Katherine is able to work with a variety of clients including Individuals, Corporations and Businesses, Trusts and Estates, Pension & Profit Sharing Plans, Insurance Companies, High Net Worth Individuals and other investment 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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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MO
05/10/2024 - Present
Charles Schwab & CO., Inc. (St Louis MO)
MO
01/08/2021 - 05/10/2024
TD AMERITRADE, INC. (St. Louis MO)
BC
Issued 01/19/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2023
Series 34 - Retail Off-Exchange FOREX Examination
BC
Issued 03/14/2023
Series 3 - National Commodity Futures Examination
BC
Issued 01/08/2021
Series 7TO - General Securities Representative Examination
BC
Issued 11/18/2020
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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