Katherine M Spratt
Investment adviser representative at LPL Financial LLC
10 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
10 years in the industry.
- LPL Financial LLCMar 2026 to now
- Janney Montgomery Scott LLCApr 2025 to Jan 2026
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 2021 to Apr 2025
- EclaroMay 2021 to Jul 2021
- UnemployedJan 2021 to May 2021
- The Ayco Company, L.p./mercer AlliedNov 2019 to Dec 2020
- Moreau NY State Park OfficeAug 2019 to Oct 2019
- UnemployedNov 2018 to Aug 2019
- 4consulting (kpmg)Sep 2018 to Oct 2018
- Robert HalfApr 2018 to Sep 2018
- UnemployedJan 2018 to Aug 2018
- Albany Molecular Research, Inc.Sep 2017 to Dec 2017
- Sunrise Systems Inc. (ge)Feb 2016 to Jul 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2001
- Series 66 · Uniform Combined State Law2020
State registrations
Registered as an investment adviser representative in 1 state (NY).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2508402
- Firm CRD
- 6413