Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Dalton is a registered representative and investment adviser representative with Fidelity Personal And Workplace Advisors. Kathleen has been in the securities industry since December 2006 and has experience with a variety of financial products and services. Kathleen specializes in providing financial planning, portfolio management, and educational seminars to individuals, businesses, and retirement plans. She is registered to provide investment advice and sell securities in all 50 states and the District of Columbia. 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.
Comprehensive financial plans to help you achieve your personal and business goals.
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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KY
09/12/2023 - Present
Fidelity Personal AND Workplace Advisors (COVINGTON KY)
OH
04/05/2022 - 07/06/2023
STANCORP EQUITIES, INC. (CINCINNATI OH)
OH
02/11/2021 - 02/22/2022
LPL FINANCIAL LLC (CINCINNATI OH)
OH
10/04/2016 - 01/08/2021
STANCORP EQUITIES, INC. (CINCINNATI OH)
KY
01/01/2008 - 09/09/2016
FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)
KY
08/09/2006 - 01/01/2008
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (COVINGTON KY)
IA
Issued 05/24/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/17/2023
Series 24 - General Securities Principal Examination
BC
Issued 05/25/2022
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 08/22/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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