Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Dickerson is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Kathleen has been in the financial industry since 1993 and is registered with 53 states and two provinces. Kathleen has a wide range of experience in the financial services industry, including working with individuals, corporations, and institutions. Kathleen is committed to providing her clients with personalized financial advice and guidance to help 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.
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
CA
06/01/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
10/15/2012 - 06/02/2016
RBC CAPITAL MARKETS, LLC (EL SEGUNDO CA)
CA
10/23/2009 - 10/16/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BEVERLY HILLS CA)
CA
01/22/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (TORRANCE CA)
CA
03/18/2004 - 01/15/2008
WELLS FARGO INVESTMENTS, LLC (LOS ANGELES CA)
MO
05/24/2000 - 03/17/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
04/17/1996 - 05/31/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
03/14/1994 - 03/29/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
07/31/1993 - 03/22/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
04/30/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/29/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/18/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/13/2006
Series 24 - General Securities Principal Examination
BC
Issued 05/01/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1993
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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