Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Brooks has been in the securities industry since January 21, 2005 and is currently registered with Fidelity Brokerage Services LLC. Katherine has worked at other firms including QUEENS ROAD SECURITIES, LLC and FIRST CITIZENS INVESTOR SERVICES, INC. Katherine has passed the Series 7, Series 63, and SIE exams. Katherine is licensed in 53 states and the District of Columbia.
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
RI
05/10/2021 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
NC
10/10/2008 - 09/02/2020
QUEENS ROAD SECURITIES, LLC (CHARLOTTE NC)
NC
05/12/2004 - 10/03/2008
FIRST CITIZENS INVESTOR SERVICES, INC. (CHARLOTTE NC)
BC
Issued 10/26/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/11/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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