Katherine Spratt, financial advisor Saratoga Springs NY

Katherine Spratt

CRD Number: 2508402
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Katherine Spratt (CRD# 2508402) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Saratoga Springs, NY and has over 23 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Saratoga Springs, NY Jul 2021 - Current 3
Eclaro New York, NY May 2021 - Jul 2021 < 1
Unemployed Gansevoort, NY Jan 2021 - May 2021 < 1
The Ayco Company, L.p./mercer Allied Latham, NY Nov 2019 - Dec 2020 1
Moreau Ny State Park Office Moreau, NY Aug 2019 - Oct 2019 < 1
Unemployed Gansevoort, NY Nov 2018 - Aug 2019 < 1
4consulting (kpmg) Dallas, TX Sep 2018 - Oct 2018 < 1
Robert Half Dallas, TX Apr 2018 - Sep 2018 < 1
Unemployed Gansevoort, NY Jan 2018 - Aug 2018 < 1
Albany Molecular Research, Inc. Albany, NY Sep 2017 - Dec 2017 < 1
Sunrise Systems Inc. (ge) Metuchen, NJ Feb 2016 - Jul 2017 1
Welfare Research Inc. Albany, NY Jul 2015 - Jan 2016 < 1
Unemployed Gansevoort, NY Feb 2015 - Jun 2015 < 1
Arrow Financial Glens Falls, NY Jan 2014 - Feb 2015 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 2001
S66 NASAA Uniform Combined State Law Examination Oct 2020
Contact Info for Katherine M. Spratt
Phone Number: 800-637-7455
Registered State(s):
  • NY
  • TX
By the Numbers
  • Total Assets Under Management
    1,271,594
    MILLIONS
  • Total Number of Accounts
    2,911,578
    ACCOUNTS
  • Average Account Value
    $436,737
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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