Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Samuel is a financial professional with over 15 years of experience in the industry. Kathryn is currently registered with Northwestern Mutual Investment Services, LLC. Kathryn is active in both Broker-Dealer and Investment Advisor capacities. Kathryn has experience with multiple firms including Ameriprise Financial Services, LLC and Putnam Retail Management Limited Partnership. Kathryn holds a Series 6, 7, 63 and 65 license and has completed 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.
Investment research; referrals to other advisers
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.
Referral fees
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NC
03/15/2023 - Present
Northwestern Mutual Investment Services, LLC (DURHAM NC)
NC
08/07/2014 - 02/02/2023
AMERIPRISE FINANCIAL SERVICES, LLC (RALEIGH NC)
MA
04/29/2005 - 08/13/2012
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (ANDOVER MA)
IA
Issued 07/02/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/15/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/14/2006
Series 7 - General Securities Representative Examination
BC
Issued 04/28/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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