Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Santoro is a financial advisor at Stifel, Nicolaus & Company, Inc. Katherine has been in the industry since 2009. Katherine has a Series 63 and a Series 7 license. Katherine has been registered with FINRA since 2009 and is licensed in 44 states. Katherine has also worked for BB&T Securities, LLC, MarketAxess Corporation, FTN Financial Securities Corp and ICAP Securities USA LLC.
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.
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
06/06/2016 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
09/01/2015 - 05/16/2016
MARKETAXESS CORPORATION (NEW YORK NY)
NY
08/08/2013 - 11/07/2014
BB&T SECURITIES, LLC (NEW YORK NY)
NY
05/03/2012 - 08/06/2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)
NY
07/19/2011 - 04/26/2012
FTN FINANCIAL SECURITIES CORP (NEW YORK NY)
NJ
06/04/2009 - 07/27/2011
ICAP SECURITIES USA LLC (JERSEY CITY NJ)
BC
Issued 10/28/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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