Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Eleanor Hegenbart is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Kathleen has been in the industry since January 10, 1984. Kathleen is registered with FINRA and the states of California, Colorado, Connecticut, Florida, Illinois, Maine, Maryland, Massachusetts, Michigan, Missouri, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, Rhode Island, Vermont, Virginia, Washington and West Virginia. Kathleen has passed the Series 3, Series 7, Series 63 and Series 65 exams. Previously, Kathleen was affiliated with Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Lehman Brothers Inc.
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
MA
03/17/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
MA
06/01/2009 - 03/01/2010
MORGAN STANLEY SMITH BARNEY (BOSTON MA)
MA
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BOSTON MA)
NY
01/11/1984 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 04/07/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/10/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/1984
Series 3 - National Commodity Futures Examination
BC
Issued 12/17/1983
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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