Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Durning is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., where has worked since August 2004. Kathleen is a seasoned professional with a strong background in the financial industry, having been involved in the sector since September 1992. Kathleen holds a broad range of professional licenses, including Series 3, 7, 8, 9, 10, 63, 65, and 66, and is registered to conduct business in numerous states across the United States.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
04/30/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PALM BEACH GARDENS FL)
NY
11/23/1988 - 02/28/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 6/29/2005
Series 66 - Uniform Combined State Law Examination
IA
Issued 6/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/7/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 3/20/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 2/6/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 9/1/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/29/2007
Series 3 - National Commodity Futures Examination
BC
Issued 12/14/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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