Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Tripp is a registered representative and investment advisor representative with Stifel, Nicolaus & Company, Inc., based in St. Louis, Missouri. Katherine has been in the industry since February 2019. Katherine has worked with Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc. Katherine is a Series 66, Series 63, Series 7TO, Series 9, Series 10, and SIE license holder.
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
MO
11/15/2023 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
MO
09/13/2022 - 11/16/2023
WELLS FARGO CLEARING SERVICES, LLC (ST. LOUIS MO)
MO
03/09/2020 - 09/02/2022
CITIGROUP GLOBAL MARKETS INC. (O'Fallon MO)
MO
02/06/2019 - 03/02/2020
TD AMERITRADE, INC. (ST. LOUIS MO)
BOTH
Issued 11/29/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/14/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/06/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/31/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/06/2019
Series 7TO - General Securities Representative Examination
BC
Issued 01/08/2019
SIE - Securities Industry Essentials 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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