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 Smith is a financial advisor with over 30 years of experience in the financial services industry. Kathleen has held positions at several prominent firms, including Morgan Stanley, Royal Alliance Associates, UBS Financial Services Inc., and Piper Jaffray Inc. Currently, Kathleen is a Registered Representative and Investment Advisor Representative at Washington Trust Advisors, where Kathleen provides financial planning and investment management services to individuals, families, and institutions. Kathleen is committed to helping her clients achieve their financial goals through a personalized approach that takes into account their individual needs, risk tolerance, and time horizon. Kathleen holds the Series 7, Series 63, and Series 65 licenses and is a Certified Financial Planner (CFP®).
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.
Personalized portfolio management to meet individual financial objectives.
Asset allocation and monitoring services
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.
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2
CT
12/21/2022 - Present
Washington Trust Advisors (New Haven CT)
MA
01/24/2012 - 03/14/2022
MORGAN STANLEY (Wellesley MA)
MA
08/26/2005 - 10/14/2011
ROYAL ALLIANCE ASSOCIATES, INC. (HOLLISTON MA)
NJ
07/10/2001 - 09/22/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CA
12/06/1999 - 05/30/2001
INTERCAL SECURITIES CO. (SACRAMENTO CA)
MN
03/17/1995 - 01/27/1998
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NJ
01/28/1995 - 04/17/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/18/1990 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
CA
03/14/1984 - 07/09/1990
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
06/22/1983 - 07/18/1984
PRUDENTIAL-BACHE SECURITIES INC.
BC
Issued 07/22/1992
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/23/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1983
Series 7 - General Securities Representative Examination
Active
Inactive
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