Katharine Finley
Katharine Finley is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Washington, DC, with 22 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
1800 K St Nw, Washington, DC, 20006
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Katharine rents out her secondary residence and is responsible for its maintenance. She also makes wire jewelry as a family business, spends minimal time on each activity, and serves on the endowment board and finance committee for St. Paul's Episcopal Church.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Metlife Securities INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations41 states
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