Unclaimed
Kathleen Ann strong Catts is a registered representative and investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Kathleen has been in the securities industry since 1998 and has a wide range of experience, including securities, investment advisory, and financial planning. Kathleen holds FINRA Series 6, 7, 10, 24, 26, 63 and 66 licenses, along with a Virginia Insurance License. Kathleen is a highly experienced advisor who is committed to providing her clients with personalized financial advice. Kathleen is dedicated to helping her clients achieve their financial goals.
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.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
12/03/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STAFFORD VA)
MA
01/16/2015 - 04/18/2016
BOFA DISTRIBUTORS, INC. (BOSTON MA)
MA
10/15/2007 - 10/08/2010
BOFA DISTRIBUTORS, INC. (BOSTON MA)
GA
09/18/2006 - 10/16/2007
PFS INVESTMENTS INC. (DULUTH GA)
IL
04/04/2000 - 11/15/2005
SCUDDER DISTRIBUTORS, INC. (CHICAGO IL)
NY
02/17/1998 - 11/15/2005
SCUDDER INVESTOR SERVICES, INC. (NEW YORK NY)
BOTH
Issued 12/02/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/10/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/06/2014
Series 24 - General Securities Principal Examination
BC
Issued 03/19/1998
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2011
Series 7 - General Securities Representative Examination
BC
Issued 02/14/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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