Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Westhuis has over 18 years of experience in the financial services industry. Kathryn is currently a registered representative and investment advisor representative with Oppenheimer & Co. Inc. in Florham Park, NJ. Kathryn has held various positions at several firms, including Marwood Group Research, Surge Trading Inc., and Bernard L. Madoff Investment Securities LLC. Kathryn has a strong background in securities trading, having passed several FINRA exams, including Series 7, Series 24, Series 3, Series 55, and Series 57TO. Kathryn is also a registered investment advisor in Colorado and New Jersey. Kathryn has a broad range of experience working with individual clients, corporations, and pension and profit-sharing plans. She is committed to providing her clients with personalized financial advice and investment strategies to help 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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
NJ
04/19/2024 - Present
Oppenheimer & Co. Inc. (FLORHAM PARK NJ)
NY
02/03/2022 - 01/30/2024
MARWOOD GROUP (NEW YORK NY)
NY
09/20/2012 - 12/31/2021
MARWOOD GROUP RESEARCH (NEW YORK NY)
NJ
05/08/2012 - 07/31/2012
KNIGHT CAPITAL AMERICAS LLC (JERSEY CITY NJ)
NY
06/24/2009 - 09/29/2010
SURGE TRADING INC. (NEW YORK NY)
NY
08/28/2003 - 07/07/2009
BERNARD L. MADOFF INVESTMENT SECURITIES LLC (NEW YORK NY)
IA
Issued 04/17/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/14/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/18/2012
Series 4 - Registered Options Principal Examination
BC
Issued 03/17/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/2012
Series 3 - National Commodity Futures Examination
BC
Issued 11/24/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/27/2003
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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