Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Ann Montano is an active investment advisor representative with Wells Fargo Clearing Services, LLC in Mystic, Connecticut. Kathleen has been in the financial services industry since June 11, 1997. Kathleen's firm, Wells Fargo Clearing Services, LLC, has offices in St. Louis, Missouri and has over 14,700 licensed agents, 15,975 investment advisor representatives and 19,871 registered representatives, with over $558 Billion in regulatory assets under management. Kathleen is registered to offer investment advisory services in Texas. She is also registered to offer securities products and services in 33 states.
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
CT
12/20/2019 - Present
Wells Fargo Clearing Services, LLC (MYSTIC CT)
CT
11/18/2003 - 12/11/2019
ESSEX FINANCIAL SERVICES, INC. (ESSEX CT)
FL
06/12/1997 - 11/19/2003
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)
BC
Issued 08/06/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Kathleen Montano is the right advisor for you? Invested Better is here to help.
