Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Brown is a financial professional with experience in the financial services industry. Katherine is currently registered with Charles Schwab & Co., Inc. in Arizona and Missouri and has previously been registered in Missouri with TD Ameritrade, Inc.. Katherine has passed the Series 63, Series 7TO, Series 9, and SIE exams. Katherine has been in the industry since March 4, 2019.
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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2
AZ
12/23/2021 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
MO
03/05/2019 - 03/07/2022
TD AMERITRADE, INC. (ST. LOUIS MO)
BC
Issued 03/13/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/22/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/05/2019
Series 7TO - General Securities Representative Examination
BC
Issued 12/07/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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