Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Clune is a financial professional with over 20 years of experience in the industry. Katherine is currently a registered representative with Piper Sandler & Co., where Katherine has been employed since November 29, 2023. Previously, Katherine was a registered representative with EVERCORE GROUP L.L.C. from June 2, 2022 to November 8, 2023 and with MORGAN STANLEY & CO. LLC from June 15, 2005 to June 13, 2022. Katherine is registered in New York, and holds the following licenses: Series 7, Series 24, Series 27, Series 63, Series 99TO and the SIE. Katherine holds a General Securities Principal license and a Financial and Operations Principal license. Katherine's focus is on providing wealth management and investment advisory services to individuals, corporations and institutions. Katherine's specialties include portfolio management, investment advisory and analytical reporting.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
11/29/2023 - Present
Piper Sandler & Co. (NEW YORK NY)
NY
06/02/2022 - 11/08/2023
EVERCORE GROUP L.L.C. (NEW YORK NY)
NY
06/15/2005 - 06/13/2022
MORGAN STANLEY & CO. LLC (NEW YORK NY)
CT
06/13/2003 - 06/20/2005
AMERICAN SKANDIA MARKETING, INC. (SHELTON CT)
NJ
04/09/2003 - 06/13/2003
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BC
Issued 06/22/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/11/2024
Series 27 - Financial and Operations Principal Examination
BC
Issued 05/18/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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