Katie Giblin, financial advisor Gilbert MN
96 score

Katie Giblin

CRD Number: 1024702
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Katie Giblin (CRD# 1024702) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Gilbert, MN and has over 34 years of experience in the finance industry. Katie Giblin has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Bank Of America, Na Duluth, MN Dec 2009 - Current 7
Merrill Lynch, Pierce, Fenner & Smith Incorporated Duluth, MN Jul 1985 - Current 31
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Dec 1981
S65 NASAA Investment Advisors Law Examination Oct 1994
Contact Info for Katie Giblin
Phone Number: 800-637-7455
Registered State(s):
  • MN
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
96
Clean Record
This advisor has a clean track record with regulators.

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