Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Van Allan is a financial advisor with over 34 years of experience in the industry. Katherine is a registered representative and investment advisor representative with Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc.. Katherine has held various positions with several firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated. Katherine holds Series 4, 7, 24, 31, 52, 53, and 63 licenses. Katherine has a strong track record of providing financial advice to a wide range of clients, including individuals, families, businesses, and institutions. Katherine specializes in portfolio management, financial planning, and retirement planning. Katherine is committed to providing her clients with personalized financial advice and strategies that are designed to help them achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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
FL
05/12/2023 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NY
04/03/1988 - 03/10/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 11/09/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/27/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/11/2009
Series 4 - Registered Options Principal Examination
BC
Issued 03/14/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/11/2000
Series 24 - General Securities Principal Examination
BC
Issued 05/11/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 02/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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