Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Courtney Saia is a financial professional with over 20 years of experience in the industry. Kathleen has been a registered representative with Oppenheimer & Co. Inc. since 2003. She has also held a previous position at CIBC WORLD MARKETS CORP. in New York, NY. Kathleen is a licensed Series 7, 9, 10, 63 and SIE representative. Kathleen provides portfolio management for individuals, businesses, and pooled investment vehicles. She is also a licensed financial planner. Kathleen is based in Boca Raton, FL.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
FL
07/21/2003 - Present
Oppenheimer & Co. Inc. (BOCA RATON FL)
NY
08/13/2001 - 06/18/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BC
Issued 01/26/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/14/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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