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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Carter is a financial advisor with LPL Financial LLC. Kathryn has over 30 years of experience in the financial services industry, specializing in retirement planning and investment management. Kathryn holds several professional licenses and designations, including the Series 7, Series 24, Series 31, and Series 63. Kathryn is licensed to provide financial advice in several states. Kathryn also holds the SIE exam. Before LPL Financial LLC, Kathryn worked at PaineWebber Incorporated and M.L. Stern & Co. Inc.
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.
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.
Consulting and other non-discretionary advisory services
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
ME
03/16/2016 - Present
LPL Financial LLC (AUGUSTA ME)
NJ
03/20/1992 - 10/06/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NJ
08/11/1987 - 05/08/1991
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
07/21/1983 - 08/03/1987
M.L. STERN & CO. INC.
IA
Issued 02/24/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/27/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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