Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Stephens is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Katherine has been in the industry since 2006 and has experience with a variety of financial products and services. Katherine has worked with other firms such as First Allied Securities, Inc., BANC of America Investment Services, Inc., and PRUCO Securities Corporation. Katherine is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 6, 7, 63 and 66 licenses.
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
OK
08/22/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (TULSA OK)
OK
05/03/2010 - 08/19/2011
FIRST ALLIED SECURITIES, INC. (TULSA OK)
OK
01/30/2007 - 08/12/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (TULSA OK)
NJ
06/14/2001 - 09/19/2002
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 11/16/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/13/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/2010
Series 7 - General Securities Representative Examination
BC
Issued 01/29/2007
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
Not sure Katherine Stephens is the right advisor for you? Invested Better is here to help.
