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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katie? Claim Your ProfileKatie Stanton is a financial advisor at LPL Financial LLC, working out of the Buffalo office. Katie has been in the financial services industry since 2007 and has experience working at several firms, including M&T Securities, Inc. and Citigroup Global Markets Inc. Katie has a broad range of experience in financial planning and investment management, with a focus on providing tailored financial solutions for individual clients and businesses. Katie is a registered representative with FINRA and holds licenses for Series 7, 24, 53, 63, 99TO and SIE exams.
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.
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2
NY
06/09/2021 - Present
LPL Financial LLC (BUFFALO NY)
NY
04/16/2009 - 06/09/2021
M&T SECURITIES, INC. (BUFFALO NY)
NY
05/16/2011 - 10/07/2011
WILMINGTON BROKERAGE SERVICES COMPANY (BUFFALO NY)
NY
12/12/2007 - 04/13/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BC
Issued 02/19/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/09/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/20/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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