Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Finley is a financial advisor with over 20 years of experience in the industry. She is currently registered with Raymond James Financial Services Advisors, Inc. and has her Series 6, 7, 63 and 66 securities licenses. Previously, Kathleen worked at Edward Jones and PFS Investments Inc. She specializes in providing financial planning and investment advice to individuals, businesses, and charitable organizations. Kathleen has a strong commitment to her clients and is dedicated to helping them 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.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
TX
10/05/2023 - Present
Raymond James Financial Services Advisors, Inc. (Allen TX)
TX
11/17/2014 - 10/15/2023
EDWARD JONES (ALLEN TX)
GA
09/25/2001 - 12/03/2003
PFS INVESTMENTS INC. (DULUTH GA)
BOTH
Issued 12/05/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/24/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/2014
Series 7 - General Securities Representative Examination
BC
Issued 09/24/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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