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Courtney Bernice Lathrop

17 Years of Experience
Broker
Areas of Practice
Investment ManagementSocially Responsible Investing
Compensation
Fee-Only (AUM)
Firm Size
45 advisors
Number of Clients
122,375 clients
Average Client Portfolio
$1.5M average
Assets Under Management
$180.8B

Fee Structure

Minimum Investment:$5M
Financial Planning:Investment management only
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Location

One Madison Avenue, 18th Floor, New York, NY, 10010

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Courtney is the Secretary of the Executive Board for the Florida State University Circus Alumni Association, a non-profit alumni organization. She spends a few hours per week on this activity, maintaining minutes, records, and directory information.

Employment History
Current Registrations
Clearbridge Investments, LLC
October 2015 - Present · 10 yrs 4 mos
Franklin Distributors, LLCBroker
October 2015 - Present · 10 yrs 4 mos
Franklin Distributors, LLC
October 2015 - Present · 10 yrs 4 mos
Previous Registrations
UBS Financial Services INC.Broker
November 2012 - October 2015 · 2 yrs 11 mos
UBS Financial Services INC.
November 2012 - October 2015 · 2 yrs 11 mos
Ameriprise Financial Services, INC.Broker
November 2009 - November 2012 · 3 yrs
Ameriprise Financial Services, INC.
November 2009 - November 2012 · 3 yrs
Ameriprise Financial Services, INC.
September 2007 - July 2009 · 1 yr 10 mos
Ameriprise Financial Services, INC.Broker
August 2007 - July 2009 · 1 yr 11 mos
State Registrations2 states
CTNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.