Katherine Stockton (CRD# 3085173) is an Investment Advisor Representative working at Fairlead Strategies in Greenwich, CT and has over 25 years of experience in the finance industry.
CRD# 2708116
Park Avenue Securities LLC
CRD# 2626796
Lincoln Financial Advisors Corporation
CRD# 4632189
Sarsi, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Fairlead Strategies | Greenwich, CT | Feb 2018 - Current | 6 |
| Btig LLC | Greenwich, CT | Sep 2013 - Jan 2018 | 4 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Sep 1998 |
| S65 | NASAA Investment Advisors Law Examination | May 2018 |
- CA
- CT
- FL
- IL
- MA
- NE
- NY
- TX
-
Total Assets Under Management209MILLIONS
-
Total Number of Accounts1ACCOUNTS
-
Average Account Value$209,000,000
- Subscription fees (for a newsletter or periodical)
- Fixed fees (other than subscription fees)
- Other
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Publication of periodicals or newsletters
- Market timing services
- Educational seminars/workshops
CA, CT, FL, IL, MA, NE, NY, TX
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