Katherine Otis, financial advisor Burlington WI
93 score

Katherine Otis

CRD Number: 4552017
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Katherine Otis (CRD# 4552017) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Burlington, WI and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Burlington, WI Sep 2007 - Current 9
Howard Company Brookfield, WI Jan 2007 - Sep 2007 < 1
Remax Realty Greenfield, WI Aug 2006 - Jan 2007 < 1
Stay At Home Mom Fort Polk, LA Nov 2004 - Aug 2006 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2010
Contact Info for Katherine Otis
Phone Number: 800-637-7455
Registered State(s):
  • TX
  • WI
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • 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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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