Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Fortner Moses is a financial advisor with over 38 years of experience in the industry. Kathleen is currently registered with Wells Fargo Clearing Services, LLC and has previously worked with several other firms, including Wells Fargo Advisors Financial Network, LLC, Wachovia Securities, LLC, First Clearing, LLC, First Union Securities, Inc., First Clearing Corporation, Wheat, First Securities, Inc., Dean Witter Reynolds Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kathleen is a Registered Representative, Investment Advisor Representative and has passed several industry exams, including the Series 3, 7, 9, 10, 53, 63, 66, SIE and 99TO. Kathleen's areas of expertise include portfolio management for businesses and individuals, and investment consulting services to institutional clients.
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
VA
07/12/2011 - Present
Wells Fargo Clearing Services, LLC (FREDERICKSBURG VA)
MO
10/03/2007 - 03/22/2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
VA
12/08/2005 - 10/03/2007
WACHOVIA SECURITIES, LLC (RICHMOND VA)
MO
08/24/2000 - 12/20/2005
FIRST CLEARING, LLC (ST. LOUIS MO)
MO
01/20/2000 - 08/24/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
MO
02/05/1999 - 01/06/2000
FIRST CLEARING CORPORATION (ST. LOUIS MO)
NC
05/14/1987 - 02/05/1999
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NA
02/23/1984 - 04/27/1987
DEAN WITTER REYNOLDS INC.
NA
07/20/1983 - 03/01/1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 11/15/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/05/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/10/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/13/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/30/2008
Series 3 - National Commodity Futures Examination
BC
Issued 07/16/1983
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
Not sure Kathleen Moses is the right advisor for you? Invested Better is here to help.
