Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Gain is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Kathleen has been in the industry since July 7, 1990. Kathleen specializes in providing investment advisory services to individuals, businesses, high-net-worth individuals, charitable organizations, insurance companies, pension and profit-sharing plans, state or municipal government entities, and corporations. Kathleen has experience in both portfolio management and financial planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
08/24/1994 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
NA
10/26/1988 - 12/11/1992
AMERICAN CAPITAL MARKETING, INC.
GA
10/26/1988 - 12/31/1989
ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)
IA
Issued 12/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/18/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1996
Series 7 - General Securities Representative Examination
BC
Issued 09/22/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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