Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Peterson is a financial advisor with Wells Fargo Clearing Services, LLC, located in Orchard Park, NY. Kathleen has been in the financial services industry since 1993. She has held previous positions at A. G. Edwards & Sons, Inc., Prudential Securities Incorporated, Community Investment Services, Inc., and Saperston Asset Management, Inc. Kathleen is licensed to provide investment advice in 38 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.
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2
NY
06/15/2009 - Present
Wells Fargo Clearing Services, LLC (ORCHARD PARK NY)
MO
07/09/2003 - 10/27/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
02/16/2001 - 11/07/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/07/2000 - 07/20/2001
COMMUNITY INVESTMENT SERVICES, INC. (OLEAN NY)
NY
05/25/1999 - 07/18/2000
SAPERSTON ASSET MANAGEMENT, INC. (HAMBURG NY)
NY
12/11/1992 - 02/01/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 08/08/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/1994
Series 3 - National Commodity Futures Examination
BC
Issued 12/09/1992
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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