Katherine Micek

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → 04/2021
  Ubs Financial Services, Inc.
  Barrington, IL
• 04/2021 → Present
  Raymond James And Associates, Inc.
  Deer Park, IL

Previous Registrations

• 2013-11-01 → 2021-04-14
  Ubs Financial Services Inc.
  Barrington, IL
• 2012-03-05 → 2013-11-04
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Deer Park, IL
  Delavan, WI

Exams

• S66 Uniform Combined State Law Examination
  2012-03-02
• S63 Uniform Securities Agent State Law Examination
  2008-04-12

Other Names

• Katherine Lynn Sterken
• Katherine Lynn Peters