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Katherine Spratt
CRD Number: 2508402Current 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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CRD# 6091481
The Ayco Company, LP
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CRD# 5123632
Cetera Investment Advisers LLC
![Lawrence Agler, financial advisor Saratoga Springs NY](/img/ws/profile-blank-sq.png)
CRD# 1476297
Lpl Financial LLC
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 |
- NY
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- 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
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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