Katharine Anne Charton
Investment adviser representative at LPL Financial LLC
15 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
15 years in the industry.
- LPL Financial, LLCNov 2020 to now
- Cambridge Investment Research, Inc.Oct 2017 to Nov 2020
- UnemployedFeb 2017 to Sep 2017
- Cetera Advisor Networks LLCFeb 2016 to Jan 2017
- Empire Asset Management Group, LLCOct 2011 to Jan 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2014
- Series 65 · Uniform Investment Adviser Law2024
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
- 5984524
- Firm CRD
- 6413