Katherine NewtonCRD 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 35 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.
Lpl Financial LLC
Wells Fargo Advisors, LLC
Resource Partners LLC
|Carroll Financial Associates, Inc.||Charlotte, NC||Sep 2015 - Current||2|
|Cetera Advisor Networks LLC||El Segundo, CA||Jan 2013 - Current||4|
|Waite Financial LLC||Hickory, NC||Oct 2004 - Current||13|
|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|
Total Assets Under Management1,733MILLIONS
Total Number of Accounts4,201ACCOUNTS
Average Account Value$412,412
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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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