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Katherine Marie Pierce
KATHERINE MARIE PATERSON, Katherine Marie Paterson
CRD#: 1925072
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 1511 N WEST SHORE BLVD
SUITE 800
TAMPA, FL 33607
SUITE 800
TAMPA, FL 33607
0
Disclosures
33
Years of Experience
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State Registrations
B
Alabama 1/17/2025
B
New York 1/9/2024
B
Arizona 6/5/2024
B
North Carolina 7/14/2022
B
California 12/7/2022
B
Pennsylvania 7/14/2022
B
Florida 6/23/2022
B
South Carolina 7/14/2022
IA
Florida 7/8/2022
B
Virginia 2/27/2024
B
Georgia 1/9/2024
SRO Registrations
B
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IA
Registered with this firm since 7/8/2022
B
Registered with this firm since 6/23/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/16/2013 - 06/09/2021 | TAMPA, FL | |
B | 08/10/2007 - 06/09/2021 | TAMPA, FL | |
B | 05/13/1996 - 08/16/2007 | TAMPA, FL | |
B | 03/07/1996 - 05/07/1996 | DENVER, CO | |
B | 01/25/1993 - 03/12/1996 | ENGLEWOOD, CO | |
B | 04/22/1992 - 01/25/1993 | ENGLEWOOD, CO | |
B | 07/18/1989 - 12/12/1990 | RED BANK, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.