Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Stephanie Heim is a financial advisor registered in New York and Louisiana. Katherine has been working in the securities industry since May 20, 2013. Katherine is currently registered with Capital ONE Securities, Inc. and was previously registered with FIRST REPUBLIC SECURITIES COMPANY, LLC, BNY MELLON SECURITIES CORPORATION, and WYNSTON HILL CAPITAL, LLC. Katherine holds Series 63, 4, 24, SIE, and Series 7 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.
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.
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2
NY
02/07/2023 - Present
Capital ONE Securities, Inc. (Melville NY)
NY
03/18/2021 - 11/25/2022
FIRST REPUBLIC SECURITIES COMPANY, LLC (NEW YORK NY)
NY
05/15/2013 - 03/22/2021
BNY MELLON SECURITIES CORPORATION (New York NY)
SD
03/04/2013 - 05/09/2013
WYNSTON HILL CAPITAL, LLC (BRANDON SD)
BC
Issued 07/14/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/11/2017
Series 4 - Registered Options Principal Examination
BC
Issued 01/26/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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