Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Hurley is a registered representative with Wells Fargo Clearing Services, LLC. Kathleen has been in the securities industry for over 10 years and has held positions at several firms including J.P. Morgan Securities LLC, SG Americas Securities, LLC, and ALPS Distributors, Inc. Kathleen has experience in various financial sectors, including real estate, where Kathleen holds a real estate license with Douglas Elliman. Kathleen holds Series 3, 7, 7TO, 57, and 66 licenses.
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
01/09/2023 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
05/18/2022 - 09/03/2022
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
08/26/2015 - 06/27/2017
SG AMERICAS SECURITIES, LLC (NEW YORK NY)
NY
06/03/2014 - 06/02/2015
ALPS DISTRIBUTORS, INC. (NEW YORK NY)
NY
07/24/2013 - 05/01/2014
FORESIDE FUND SERVICES, LLC (NEW YORK NY)
NY
12/01/2011 - 07/26/2013
RAFFERTY CAPITAL MARKETS, LLC (NEW YORK NY)
BOTH
Issued 08/05/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/20/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2022
Series 7TO - General Securities Representative Examination
BC
Issued 03/07/2022
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/2017
Series 57 - Securities Trader Exam
BC
Issued 05/13/2013
Series 3 - National Commodity Futures Examination
BC
Issued 11/30/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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