Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Caruso is a registered representative with over 20 years of experience in the financial industry. Kathleen has been with TIAA-CREF Individual & Institutional Services, LLC since June 2016, previously working at Janus Distributors LLC. Kathleen's career began in 2001 at Salomon Smith Barney Inc. Kathleen holds the Series 7, 10, 9, 24, and 63 licenses. Kathleen provides investment advisory services, including financial planning and portfolio management for individuals and businesses.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
CO
06/07/2016 - Present
Tiaa-Cref Individual & Institutional Services, LLC (DENVER CO)
CO
09/11/2015 - 06/02/2016
JANUS DISTRIBUTORS LLC (DENVER CO)
CO
02/19/2008 - 02/28/2014
JANUS DISTRIBUTORS LLC (DENVER CO)
CO
08/12/2006 - 02/08/2008
UBS FINANCIAL SERVICES INC. (LITTLETON CO)
CO
04/15/2003 - 08/12/2006
PIPER JAFFRAY & CO. (EVERGREEN CO)
NY
01/31/2002 - 03/25/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
MO
10/09/2001 - 02/15/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
BC
Issued 01/22/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2012
Series 24 - General Securities Principal Examination
BC
Issued 06/23/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/24/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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