Katherine Marie Flouton
Professional Summary
Katherine Marie Flouton, who also goes by Katherine Marie Winn, is a registered financial advisor currently at PURSHE KAPLAN STERLING INVESTMENTS located in Albany, New York and PKS SECURITIES, INC. located in Albany, New York. Katherine is registered as a RR (Registered Representative) and started their career in finance in 2018. Katherine has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Katherine Marie Winn
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
BROADSTONE SECURITIES | PKS SECURITIES, INC. | MICHIGAN SECURITIES, INC. | MICHIGAN ADVISORS, INC. | INSURANCE AUDIT AGENCY, INC. | INSURANCE & AUDIT AGENCY, INC.
Contact Information
Main Address
80 State Street, Albany, NY 12207Mailing Address
80 State Street, Albany, NY 12207Phone Number
(518) 436-3536Established
Michigan since 09/10/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(8/8/2001)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Katherine Marie Flouton's CRS (Customer Relationship Summary).
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