Katherine Mae Bercot
Professional Summary
Katherine Mae Bercot is a registered financial advisor currently at LINCOLN FINANCIAL DISTRIBUTORS, INC. located in Fort Wayne, Indiana. Katherine is registered as a RR (Registered Representative) and started their career in finance in 2019. Katherine has worked at 1 firm and has passed the Series 6TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
LEGACY PATH ADVISORS LLC
WELLS FARGO CLEARING SERVICES, LLC
OPPENHEIMER & CO. INC.
YARDLEY WEALTH MANAGEMENT LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LEGACY PATH ADVISORS LLC
WELLS FARGO CLEARING SERVICES, LLC
OPPENHEIMER & CO. INC.
YARDLEY WEALTH MANAGEMENT LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LEGACY PATH ADVISORS LLC
WELLS FARGO CLEARING SERVICES, LLC
OPPENHEIMER & CO. INC.
YARDLEY WEALTH MANAGEMENT LLC
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
Similar Advisors
LEGACY PATH ADVISORS LLC
WELLS FARGO CLEARING SERVICES, LLC
OPPENHEIMER & CO. INC.
YARDLEY WEALTH MANAGEMENT LLC
Years of Experience
7 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
LEGACY PATH ADVISORS LLC
WELLS FARGO CLEARING SERVICES, LLC
OPPENHEIMER & CO. INC.
YARDLEY WEALTH MANAGEMENT LLC
Current Firm
CG EQUITY SALES COMPANY | SAGEMARK CONSULTING, INC. | LINCOLN FINANCIAL DISTRIBUTORS, INC. | CIGNA SECURITIES, INC. | CIGNA FINANCIAL ADVISORS,INC.
Contact Information
Main Address
130 N Radnor-chester Rd, Radnor, PA 19087Mailing Address
130 N Radnor-chester Rd, Radnor, PA 19087Phone Number
(484) 583-6000Established
Connecticut since 08/03/1967Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE LINCOLN NATIONAL LIFE INSURANCE COMPANY | SHAREHOLDER | — |
| CHRYSSIKOS, PAUL TELEMAC | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 7263748 |
| FALLER, DANIEL T | SENIOR VICE PRESIDENT, HEAD OF LFD FINANCE | 6006570 |
| GIBSON, JASON MICHAEL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION | 3081880 |
| KENNEDY, JOHN CHRISTOPHER | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2213083 |
| NEPA, JARED M. | SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION | 5157819 |
| OMORUYI, MEGAN VOGT | AVP, FINANCIAL AND OPERATIONS PRINCIPAL | 7803022 |
| SEIFERT, TIMOTHY JOHN | SENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION | 1577571 |
Disclosures
Regulatory Event
3Similar Advisors
LEGACY PATH ADVISORS LLC
WELLS FARGO CLEARING SERVICES, LLC
OPPENHEIMER & CO. INC.
YARDLEY WEALTH MANAGEMENT LLC
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.
Similar Advisors
LEGACY PATH ADVISORS LLC
WELLS FARGO CLEARING SERVICES, LLC
OPPENHEIMER & CO. INC.
YARDLEY WEALTH MANAGEMENT LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2019About the Series 6TO examSRO Registrations
Similar Advisors
LEGACY PATH ADVISORS LLC
WELLS FARGO CLEARING SERVICES, LLC
OPPENHEIMER & CO. INC.
YARDLEY WEALTH MANAGEMENT LLC
CRS (Client Relationship Summary) - BD
Click below to view Katherine Mae Bercot's CRS (Customer Relationship Summary).
Similar Advisors
LEGACY PATH ADVISORS LLC
WELLS FARGO CLEARING SERVICES, LLC
OPPENHEIMER & CO. INC.
YARDLEY WEALTH MANAGEMENT LLC