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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Roshay is an investment advisor representative with Raymond James & Associates, Inc. based in Pasadena, CA. Kathleen joined Raymond James & Associates, Inc. in May 2017, and has been a registered representative since February 2007. Kathleen has a Series 7 and Series 66 license and holds FINRA registration number 5235442. Kathleen specializes in providing financial planning and investment management services to individuals, businesses, and high-net-worth 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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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
CA
08/07/2017 - Present
Raymond James & Associates, Inc. (Pasadena CA)
CA
11/25/2013 - 05/10/2017
D.A. DAVIDSON & CO. (LOS ANGELES CA)
CA
11/04/2013 - 11/25/2013
CROWELL WEEDON & CO. (LOS ANGELES CA)
CA
02/12/2007 - 11/04/2013
CROWELL, WEEDON & CO. (LOS ANGELES CA)
BOTH
Issued 06/14/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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