Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Marie Carlson is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Kathryn has been working in the securities industry for over 18 years. Prior to joining Merrill Lynch, Kathryn worked at UST SECURITIES CORP. and MERCER ALLIED COMPANY, L.P. Kathryn is a licensed broker in New Jersey and New York. Kathryn holds the Series 7, Series 24 and Series 66 licenses. Kathryn provides a range of investment advisory services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. Kathryn also offers other services such as performance measurement reports, allocation modeling, and investment policy statements.
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
NJ
05/10/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NY
07/26/2006 - 03/06/2008
UST SECURITIES CORP. (NEW YORK NY)
NY
02/06/2001 - 09/22/2004
MERCER ALLIED COMPANY, L.P. (COHOES NY)
BOTH
Issued 05/07/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/02/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/2001
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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