Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Katy? Claim Your ProfileKaty Chase is a financial advisor with over 10 years of experience in the industry. Katy is a CERTIFIED FINANCIAL PLANNER™ professional and holds FINRA Series 7 and 66 licenses, as well as the SIE exam. Katy is currently registered with Wealth Enhancement Advisory Services, LLC. Katy has previously worked with First Allied Securities, Inc. and Mid Atlantic Capital Corporation. Katy is a registered investment advisor in the state of Maryland. Katy works with individuals, families, businesses and charitable organizations to help them achieve their financial goals. Katy's primary focus is on providing financial planning and investment management services. Katy is committed to providing her clients with personalized service and a high level of integrity.
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.
Personalized portfolio management to meet individual financial objectives.
Erisa 3(38) investment manager
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.
Fees received from third party investment advisors
1
2
MN
07/01/2021 - Present
Wealth Enhancement Advisory Services, LLC (PLYMOUTH MN)
MD
06/27/2014 - 10/15/2019
FIRST ALLIED SECURITIES, INC. (NEW MARKET MD)
MD
06/10/2013 - 06/27/2014
MID ATLANTIC CAPITAL CORPORATION (NEW MARKET MD)
BOTH
Issued 09/26/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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