Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Malone is a financial advisor with over 35 years of experience in the industry. Kathleen is currently registered with Wells Fargo Clearing Services, LLC and has held previous registrations with several other firms including First Union Brokerage Services, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kathleen has a broad range of experience in the financial industry and is licensed to provide investment advice and services in multiple states.
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.
Investment consulting services to institutional clients
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
NC
06/05/2024 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
02/21/1989 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NA
11/26/1988 - 12/14/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
09/26/1986 - 03/05/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 09/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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