Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katie? Claim Your ProfileKatie Whalen is a financial advisor at Ameriprise Financial Services, LLC. Katie is a registered representative of the firm and has been active in the financial industry since February 2013. Katie has an active registration with the state of Texas. Katie holds various licenses including Series 63, 10, 9, 7, and SIE. Katie provides financial planning, pension consulting, educational seminars, portfolio management for businesses, and portfolio management for individuals.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
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AZ
01/28/2015 - Present
Ameriprise Financial Services, LLC (Gilbert AZ)
BC
Issued 09/04/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/06/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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