Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Clark is a financial professional with over 30 years of experience in the industry. Currently, Kathryn is a registered representative with Charles Schwab & Co., Inc., where she has been employed since March 2023. Prior to joining Charles Schwab & Co., Inc., Kathryn held positions with TD Ameritrade, Inc., TD Ameritrade Clearing, Inc., Jack White & Company, Inc., Thomas James Associates, Inc., Pacific Capital Partners, Inc. and The Stuart-James Company, Incorporated. Kathryn is licensed in California and holds FINRA Series 7, 9, 10, and 63 licenses as well as the SIE exam.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NE
03/30/2023 - Present
Charles Schwab & CO., Inc. (Omaha NE)
CA
06/01/1998 - 07/29/2024
TD AMERITRADE, INC. (SAN DIEGO CA)
NE
10/15/2012 - 01/28/2021
TD AMERITRADE CLEARING, INC. (OMAHA NE)
NA
01/30/1992 - 06/01/1998
JACK WHITE & COMPANY, INC.
NY
11/08/1990 - 01/15/1992
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
CA
08/22/1990 - 11/27/1990
PACIFIC CAPITAL PARTNERS, INC. (LA JOLLA CA)
CO
09/19/1989 - 08/07/1990
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
BC
Issued 09/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/09/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/05/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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