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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Louise Thompson is a financial advisor with over 15 years of experience in the industry. Kathleen currently works at Morgan Stanley and is registered with the state of Virginia as an Investment Advisor Representative. Kathleen has a broad range of experience in the industry, having previously worked at Davenport & Company LLC, World Capital Brokerage, Inc., and First Dominion Capital Corp. Kathleen is also a Certified Financial Planner and holds several industry licenses, including Series 6, 7, 24, 63 and 65. Kathleen works with individuals, families, businesses, and institutions to provide financial advice and portfolio management services.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
VA
12/06/2022 - Present
Morgan Stanley (Richmond VA)
VA
02/04/2013 - 11/14/2022
DAVENPORT & COMPANY LLC (RICHMOND VA)
VA
07/28/2009 - 12/31/2012
WORLD CAPITAL BROKERAGE, INC. (GLEN ALLEN VA)
VA
08/31/2007 - 07/17/2009
FIRST DOMINION CAPITAL CORP. (RICHMOND VA)
IA
Issued 05/04/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/04/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/01/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/2008
Series 7 - General Securities Representative Examination
BC
Issued 08/30/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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