Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Stcharles Clark is a financial advisor with RBC Capital Markets, LLC. Katherine has been in the financial services industry since 1978 and has experience with a variety of firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Citigroup Global Markets Inc., Lehman Brothers Inc., and E. F. Hutton & Company Inc. Katherine has a strong background in providing financial advice to individuals, corporations, and institutions. Katherine is registered with FINRA and holds the Series 7, Series 63, and Series 65 licenses. Katherine is also a member of the Board of Directors for The Excel Institute, a training program for underprivileged young adults.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MD
03/30/2017 - Present
RBC Capital Markets, LLC (CHEVY CHASE MD)
MD
11/14/2005 - 01/09/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BETHESDA MD)
NY
07/31/1993 - 11/25/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
04/11/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/06/1979 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
08/25/1978 - 08/23/1979
BACHE HALSEY STUART SHIELDS INCORPORATED
IA
Issued 01/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/27/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1978
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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