Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Baum is a financial advisor with over 19 years of experience in the industry. Katherine is currently registered with Morgan Stanley in Pittsburgh, Pennsylvania. Katherine is also registered in Texas as a resident Investment Advisor. Katherine previously held roles at QUASAR DISTRIBUTORS, LLC in Portland, Maine and Northwestern Mutual Investment Services, LLC in Erie, Pennsylvania. Katherine is a Series 6, 7, 63 and 65 licensed professional. Katherine holds a Series SIE license. Katherine has a wide range of experience in the financial industry and is committed to providing her clients with the highest level of service.
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.
Strategic management for diversified investment portfolios.
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.
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.
See schedule d miscellaneous
1
2
PA
04/02/2020 - Present
Morgan Stanley (Pittsburgh PA)
ME
01/16/2008 - 03/31/2017
QUASAR DISTRIBUTORS, LLC (PORTLAND ME)
PA
08/26/2005 - 08/16/2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (ERIE PA)
IL
11/05/2004 - 03/03/2005
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
NY
11/04/1996 - 11/13/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MI
01/23/1996 - 10/02/1996
FIRST OF MICHIGAN CORPORATION (DETROIT MI)
IA
Issued 05/03/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/19/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2017
Series 7 - General Securities Representative Examination
BC
Issued 11/04/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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