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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katherine? Claim Your ProfileKatherine Whitted Groetzinger is a financial advisor at UBS Financial Services Inc. Katherine has been working in the financial services industry since July 2011. Katherine is a registered representative in North Carolina and Texas. Katherine has her Series 7, Series 6, and Series 66 securities licenses. Katherine specializes in providing financial advice to individuals, corporations, trusts, high-net-worth individuals, and institutions. Katherine has been a financial advisor at UBS Financial Services Inc. since April 2015. Prior to that, Katherine was a financial advisor at Vanguard Marketing Corporation. Katherine offers a variety of financial services, including investment management, financial planning, and retirement planning.
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.
See schedule d - miscellaneous
1
2
NC
11/17/2016 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
07/27/2011 - 04/20/2015
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
BOTH
Issued 05/11/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/05/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/2012
Series 7 - General Securities Representative Examination
BC
Issued 07/26/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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