Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Antoinette Graham is a financial advisor with over 30 years of experience in the financial services industry. Kathleen has held various roles at several firms including Securities America, Inc. and AXA Advisors, LLC. Currently, Kathleen is registered with Osaic Wealth, Inc. as an Investment Advisor Representative (IAR) in both Ohio and Nebraska. Kathleen has a wide range of experience and expertise in financial planning, pension consulting, and portfolio management. She is committed to providing her clients with personalized financial advice and guidance.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
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2
AZ
06/14/2024 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
OH
08/19/2014 - 06/14/2024
SECURITIES AMERICA, INC. (Elyria OH)
OH
08/21/2012 - 08/08/2014
AXA ADVISORS, LLC (CLEVELAND OH)
HI
06/01/2009 - 08/03/2012
MORGAN STANLEY SMITH BARNEY (HONOLULU HI)
OH
04/23/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CLEVELAND OH)
NY
01/15/2008 - 04/14/2008
AMERIPRISE FINANCIAL SERVICES, INC. (MELVILLE NY)
NJ
08/03/2005 - 01/08/2008
AMERIPRISE FINANCIAL SERVICES, INC. (SADDLE BROOK NJ)
OH
04/26/2004 - 07/11/2005
MID-OHIO SECURITIES CORP (ELYRIA OH)
OH
04/28/2000 - 04/16/2004
VALMARK SECURITIES, INC. (AKRON OH)
NE
08/02/1999 - 04/19/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
MO
03/12/1998 - 07/15/1999
EVEREN SECURITIES, INC. (ST. LOUIS MO)
TX
08/20/1992 - 03/18/1997
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
MO
10/31/1991 - 08/13/1992
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
09/09/1991 - 10/03/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 02/16/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/02/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/29/2001
Series 24 - General Securities Principal Examination
BC
Issued 07/17/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/22/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/2011
Series 3 - National Commodity Futures Examination
BC
Issued 09/06/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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