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 Riocci is an investment advisor representative at Principal Securities, Inc. Kathleen is registered with the Securities and Exchange Commission as an investment advisor representative, and she holds Series 6, Series 63, and Series 65 licenses. Kathleen is licensed to sell investment products in 33 states and the District of Columbia. Kathleen has experience in the financial services industry since July 28, 2016. Principal Securities, Inc. is a registered investment advisor and broker-dealer with headquarters in Des Moines, Iowa. The firm provides investment advisory services to individuals, businesses, and institutions, as well as financial planning, pension consulting, and educational seminars.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
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2
CT
01/12/2023 - Present
Principal Securities, Inc. (STAMFORD CT)
IA
Issued 10/14/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/15/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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