Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Chau is a registered representative with Vanguard Marketing Corp. Kathy holds the Series 7, Series 63, and SIE licenses and is registered in 53 states and the District of Columbia. Kathy has been in the financial industry since May 22, 2024.
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.
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.
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NC
05/23/2024 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
BC
Issued 06/10/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/23/2024
Series 7TO - General Securities Representative Examination
BC
Issued 04/03/2024
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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