Katherine Newton, financial advisor Hickory NC
96 score

Katherine Newton

CRD Number: 1026401
Current Firm: Carroll Financial Associates Inc.

Katherine Newton (CRD# 1026401) is an Investment Advisor Representative working at Carroll Financial Associates Inc. in Hickory, NC and has over 34 years of experience in the finance industry. Katherine Newton 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
Carroll Financial Associates, Inc. Charlotte, NC Sep 2015 - Current 1
Cetera Advisor Networks LLC El Segundo, CA Jan 2013 - Current 3
Waite Financial LLC Hickory, NC Oct 2004 - Current 12
Financial Network Inv. Corp. El Segundo, CA Aug 2001 - Dec 2012 11
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1982
Contact Info for Katherine S. Newton
Phone Number: 704-553-8006
Registered State(s):
  • LA
  • NC
By the Numbers
  • Total Assets Under Management
    1,733
    MILLIONS
  • Total Number of Accounts
    4,201
    ACCOUNTS
  • Average Account Value
    $412,412
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AL, AZ, CA, FL, GA, IL, LA, MD, MI, MN, MO, NC, NJ, NY, OH, OR, PA, SC, TN, TX, VA, WA, WI

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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