Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen L Burton is a financial advisor at UBS Financial Services Inc., an investment firm that manages over $700 billion in assets. Kathleen has been in the industry for 18 years, starting her career at UBS Financial Services Inc. Kathleen currently holds Series 7, Series 66, and SIE licenses and is registered in Virginia and North Carolina. Kathleen also has experience at Wachovia Securities Financial Network, LLC. Kathleen has a background in sales and is passionate about providing comprehensive financial planning and investment advice to her 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.
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.
See schedule d - miscellaneous
1
2
VA
12/06/2008 - Present
UBS Financial Services Inc. (RICHMOND VA)
VA
10/01/2008 - 11/03/2008
WACHOVIA SECURITIES FINANCIAL NETWORK, LLC (RICHMOND VA)
VA
03/25/2005 - 10/14/2008
UBS FINANCIAL SERVICES INC. (RICHMOND VA)
BOTH
Issued 08/15/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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