Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Walker is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been in the industry since January 2007. Katherine Walker holds Series 6, 7, 9, 10, 63 and 66 licenses. Katherine Walker is registered to provide investment advice in a number of states including: California, Connecticut, Florida, Indiana, Maine, Massachusetts, Michigan, Montana, New Hampshire, New Jersey, New York, Rhode Island and Texas. Katherine Walker has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since October 2009 and has previously been employed by BANC OF AMERICA INVESTMENT SERVICES, INC. in Manchester, NH.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MA
10/08/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
NH
01/10/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (MANCHESTER NH)
BOTH
Issued 10/8/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 3/26/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/20/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/10/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/1/2010
Series 7 - General Securities Representative Examination
BC
Issued 1/9/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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