Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Josephine Vega is a financial advisor with over 25 years of experience in the industry. Kathleen is currently registered with Wells Fargo Clearing Services, LLC. Previous firms include GKN Securities Corp., BCS Brokerage, Inc., Barrington Capital Group, L.P., and D. H. Blair & Co., Inc.. Kathleen holds the Series 63, Series 7 and SIE licenses. Kathleen is also a Registered Investment Advisor with the state of New York. Kathleen is registered in 27 states and is able to provide advice and investment services. Kathleen is a dedicated professional with a focus on providing personalized 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.
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
NY
03/18/2011 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
01/11/2000 - 12/05/2000
GKN SECURITIES CORP. (NEW YORK NY)
FL
10/04/1999 - 01/10/2000
BCS BROKERAGE, INC. (BRANDENTON FL)
NY
04/17/1998 - 01/07/1999
BARINGTON CAPITAL GROUP, L.P. (NEW YORK NY)
NY
04/21/1993 - 04/14/1998
D. H. BLAIR & CO., INC. (NEW YORK NY)
BC
Issued 10/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1993
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
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