Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathrine? Claim Your ProfileKathrine Wunderli-bastian is an investment professional with over 16 years of experience in the financial services industry. Currently, Kathrine is a registered representative with J.p. Morgan Securities LLC and is registered in 53 states for broker-dealer activities and 2 states for investment advisor activities. Kathrine has experience working with individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. Kathrine is also a Series 66, Series 63, Series 10, Series 9 and Series 7 licensed professional. Kathrine holds a Series 63 license and was previously registered with Fidelity Brokerage Services LLC until February 2024. Kathrine provides a variety of financial planning and investment advisory services to clients.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
IL
04/04/2024 - Present
J.p. Morgan Securities LLC (Wheaton IL)
IL
08/27/2007 - 02/21/2024
FIDELITY BROKERAGE SERVICES LLC (NAPERVILLE IL)
BOTH
Issued 08/09/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/31/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/15/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/08/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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