Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Fisher is a financial advisor with over 23 years of experience in the industry. Kathleen is registered with J.p. Morgan Securities LLC and has offices in San Rafael, CA and Columbus, OH. Prior to working with J.p. Morgan Securities LLC, Kathleen worked with Chase Investment Services Corp., UBS Financial Services Inc., RBC Capital Markets, LLC, and Safeco Securities, 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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
CA
06/11/2014 - Present
J.p. Morgan Securities LLC (San Rafael CA)
CA
09/18/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (SAN FRANCISCO CA)
CA
08/03/2011 - 09/26/2012
UBS FINANCIAL SERVICES INC. (SAN FRANCISCO CA)
WA
04/03/2002 - 08/04/2011
RBC CAPITAL MARKETS, LLC (SEATTLE WA)
WA
07/08/1998 - 02/11/2002
SAFECO SECURITIES, INC. (BELLEVUE WA)
MN
11/06/1991 - 05/14/1992
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
BOTH
Issued 10/14/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/21/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/26/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/07/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 05/22/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/2012
Series 3 - National Commodity Futures Examination
BC
Issued 10/22/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/24/2002
Series 7 - General Securities Representative Examination
BC
Issued 07/07/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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