Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katheryn? Claim Your ProfileKatheryn Jones is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. with over 10 years of experience in the financial services industry. Katheryn is registered with FINRA and has passed the Series 7, Series 66, and SIE exams, demonstrating her expertise in securities and investment advisory services. Katheryn has previously worked with Goldman Sachs & Co. LLC, and has a wide range of experience in providing financial advice to individuals, businesses, and institutions. Katheryn is dedicated to providing her clients with comprehensive financial planning and investment management services. She is committed to building long-lasting relationships with her clients, and to helping 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
03/29/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
10/31/2017 - 08/15/2019
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
NJ
10/30/2015 - 10/02/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)
IA
Issued 07/24/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 04/01/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/30/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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