Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katie? Claim Your ProfileKatie Colleen Shields is a financial professional with over 20 years of experience in the industry. Katie has been registered with Btig, LLC since November 2014, Katie holds the Series 7, SIE, and Series 63 licenses. Katie's previous experience includes working with Morgan Stanley & Co. LLC. Katie is currently registered in 8 states including California, Connecticut, Georgia, Illinois, Massachusetts, New Jersey, New York, and Texas.
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.
1
2
NJ
11/03/2014 - Present
Btig, LLC (RED BANK NJ)
NY
05/17/2001 - 11/11/2014
MORGAN STANLEY & CO. LLC (NEW YORK NY)
BC
Issued 01/11/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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