Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Kraz is a financial advisor in Greenwood Village, CO. Kathleen has been in the industry since September 19, 2000, and is currently registered with Fidelity Brokerage Services LLC. Kathleen is also a registered principal. Prior to working with Fidelity Brokerage Services LLC, Kathleen was with CHARLES SCHWAB & CO., INC. for 14 years. She is licensed to sell securities in Colorado. Kathleen has earned her Series 66, Series 63, Series 10, Series 9, SIE, and Series 7 licenses.
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.
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.
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2
CO
04/07/2015 - Present
Fidelity Brokerage Services LLC (GREENWOOD VILLAGE CO)
CO
08/30/2000 - 03/17/2015
CHARLES SCHWAB & CO., INC. (LONE TREE CO)
BOTH
Issued 12/21/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/27/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/01/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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