Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Lynch Brooke is a financial advisor with over 30 years of experience in the industry. Kathleen is registered with Raymond James & Associates, Inc. in Florida, and has been with the firm since June 2020. Kathleen previously worked for Wells Fargo Clearing Services, LLC and Morgan Stanley. Kathleen has a broad range of experience in providing financial advice to a variety of clients, including individuals, families, businesses, and institutions. Kathleen is dedicated to helping clients achieve their financial goals.
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.
Please see note in schedule d - miscellaneous
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
FL
07/02/2020 - Present
Raymond James & Associates, Inc. (TAMPA FL)
FL
11/26/2012 - 06/29/2020
WELLS FARGO CLEARING SERVICES, LLC (TAMPA FL)
FL
06/01/2009 - 12/03/2012
MORGAN STANLEY (TAMPA FL)
FL
06/24/1996 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (TAMPA FL)
NY
09/20/1994 - 05/14/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
08/18/1987 - 04/19/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 11/27/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/28/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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