Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Yau is a financial professional with over 8 years of experience in the industry. Katherine holds a variety of licenses and certifications, including Series 63, 66, 7, 79, and SIE, and has extensive knowledge of securities and investment banking. Currently, Katherine is registered with J.p. Morgan Securities LLC as a Registered Representative. Prior to joining J.p. Morgan Securities LLC, Katherine was employed by Citigroup Global Markets Inc. and Nomura Securities International, Inc. Katherine's experience and credentials make her a well-equipped advisor for clients seeking assistance with a variety of financial needs, including investment management, financial planning, and pension consulting.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
04/09/2024 - Present
J.p. Morgan Securities LLC (New York NY)
NY
11/20/2017 - 03/03/2021
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/25/2016 - 10/17/2017
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
BOTH
Issued 03/25/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/27/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/29/2023
Series 7TO - General Securities Representative Examination
BC
Issued 08/29/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/24/2017
Series 7 - General Securities Representative Examination
BC
Issued 07/23/2016
Series 79 - Investment Banking Registered 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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