Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Harte is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. She is a licensed securities professional and has been in the industry since 1991. Kathleen holds the Series 7 and Series 63 licenses. Her previous experience includes time spent with Smith Barney Inc. and Dean Witter Reynolds Inc. Kathleen's current affiliation with Merrill Lynch, Pierce, Fenner & Smith Inc. began in 1997. She is registered to provide investment advisory services to individuals, corporations, investment companies, and pension and profit-sharing plans.
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
TX
03/14/1997 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SOUTHLAKE TX)
NY
03/08/1994 - 02/24/1997
SMITH BARNEY INC. (NEW YORK NY)
CA
10/19/1989 - 12/08/1989
VANGUARD CAPITAL (DEL MAR CA)
NY
03/08/1989 - 06/22/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
05/23/1986 - 02/01/1989
ISFA CORPORATION
BC
Issued 03/06/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/1994
Series 7 - General Securities 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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