Katelyn Smith (CRD# 5603500) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Tacoma, WA and has over 15 years of experience in the finance industry. Katelyn Smith 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.
CRD# 3220588
Byrne & Company Wealth Management, LLC
CRD# 5925615
Securities America Advisors, Inc.
CRD# 5464276
Sitka Pacific Capital Management, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Stifel, Nicolaus & Company, Incorporated | Tacoma, WA | Jun 2019 - Current | 4 |
| City National Bank | Tacoma, WA | Jul 2018 - Jun 2019 | < 1 |
| Rbc Capital Markets, LLC | Tacoma, WA | Jan 2013 - Jun 2019 | 6 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 2008 |
| S66 | NASAA Uniform Combined State Law Examination | Sep 2013 |
- TX
- WA
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Total Assets Under Management149,249MILLIONS
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Total Number of Accounts348,524ACCOUNTS
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Average Account Value$428,231
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- 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)
- Educational seminars/workshops
AK, AL, AR, AZ, 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, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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