Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Fereday is an investment advisor representative with Prosperity Wealth Management, Inc. in San Ramon, CA. Kathleen has been in the industry since 1999 and has experience working with clients including individuals, trusts, pensions, and charitable organizations. Kathleen offers a wide range of services, including financial planning, portfolio management, and selection of other advisors.
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.
Helps you choose top advisors aligned with your financial goals.
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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CA
07/07/2020 - Present
Prosperity Wealth Management, Inc. (San Ramon CA)
WI
12/14/2015 - 02/08/2017
INVEST FINANCIAL CORPORATION (APPLETON WI)
WI
12/14/2015 - 02/08/2017
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
WI
12/14/2015 - 02/08/2017
SII INVESTMENTS, INC. (APPLETON WI)
MD
06/20/2012 - 02/08/2017
NATIONAL PLANNING CORPORATION (ANNAPOLIS MD)
FL
02/14/2011 - 08/12/2011
SUMMIT BROKERAGE SERVICES, INC. (BOCA RATON FL)
AZ
10/15/2008 - 12/14/2010
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
CA
07/23/2007 - 07/09/2008
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
11/12/1998 - 05/02/2007
NATIONAL PLANNING CORPORATION (SANTA MONICA CA)
MD
01/05/1998 - 09/17/1998
THE ADVISORS GROUP, INC. (BETHESDA MD)
MD
05/23/1994 - 04/01/1996
H. BECK, INC. (ROCKVILLE MD)
NY
04/30/1993 - 08/19/1993
RELATED EQUITIES CORPORATION (NEW YORK NY)
IA
Issued 03/22/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/27/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/1994
Series 3 - National Commodity Futures Examination
BC
Issued 04/26/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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