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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Le mons is a financial advisor with over 30 years of experience in the industry. Kathleen has a wealth of knowledge and expertise, and has worked with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. Kathleen is a Registered Representative of Wells Fargo Clearing Services, LLC. She is also a Registered Investment Advisor. Kathleen holds the Series 3, 7, 9, 10, 24, 30, 31, 63, and 65 licenses. She is also a Registered Options Principal.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
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.
Investment consulting services to institutional clients
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
VA
10/01/1999 - Present
Wells Fargo Clearing Services, LLC (VIRGINIA BEACH VA)
NC
01/04/1989 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NA
12/06/1988 - 11/06/1997
WHEAT, FIRST SECURITIES, INC.
NA
12/23/1985 - 12/09/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 05/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/07/2006
Series 30 - NFA Branch Manager Examination
BC
Issued 04/14/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 12/29/1997
Series 4 - Registered Options Principal Examination
BC
Issued 09/03/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 12/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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