Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Kemp Santos is an investment advisor representative with Fidelity Personal And Workplace Advisors. Kathleen has been in the industry since February 13, 1988. Kathleen is registered with FINRA and has passed the Series 7, Series 63 and Series 65 exams. Kathleen's current firm has offices in Foster City and Burlingame, California. Kathleen has previously worked with ALT FUND DISTRIBUTORS LLC, BEHRINGER SECURITIES LP, SECURITIES AMERICA, INC., CNL SECURITIES CORP., TOUCHSTONE SECURITIES, INC., TECHNOLOGY FUNDING SECURITIES CORPORATION, INTEGRATED RESOURCES EQUITY CORPORATION, PLANVEST CAPITAL CORPORATION and EQUITEC SECURITIES COMPANY.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
CA
04/07/2020 - Present
Fidelity Personal AND Workplace Advisors (FOSTER CITY CA)
NY
05/09/2016 - 05/17/2017
ALT FUND DISTRIBUTORS LLC (NEW YORK NY)
TX
07/11/2012 - 02/27/2015
BEHRINGER SECURITIES LP (DALLAS TX)
CA
05/31/2002 - 06/26/2012
SECURITIES AMERICA, INC. (SAN MATEO CA)
FL
11/12/1993 - 06/26/2000
CNL SECURITIES CORP. (ORLANDO FL)
OH
10/28/1992 - 06/10/1993
TOUCHSTONE SECURITIES, INC. (CINCINNATI OH)
NA
12/24/1987 - 09/29/1992
TECHNOLOGY FUNDING SECURITIES CORPORATION
NA
01/09/1987 - 11/30/1987
INTEGRATED RESOURCES EQUITY CORPORATION
NA
08/03/1984 - 01/19/1987
PLANVEST CAPITAL CORPORATION
NA
04/18/1984 - 08/14/1984
EQUITEC SECURITIES COMPANY
IA
Issued 10/25/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/14/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
Not sure Kathleen Santos is the right advisor for you? Invested Better is here to help.
