Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Murray is a registered investment advisor representative with Oppenheimer & Co. Inc. in Newport Beach, California. Kathleen has been in the financial services industry since 2001. Prior to joining Oppenheimer & Co. Inc., Kathleen worked at RAYMOND JAMES & ASSOCIATES, INC. and OPPENHEIMER & CO. INC. Kathleen has passed the Series 63, Series 66, Series 7 and SIE examinations. Kathleen specializes in portfolio management for businesses and individuals, as well as financial planning.
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.
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.
1
2
CA
05/20/2013 - Present
Oppenheimer & Co. Inc. (NEWPORT BEACH CA)
CA
04/17/2009 - 05/20/2013
RAYMOND JAMES & ASSOCIATES, INC. (NEWPORT BEACH CA)
CA
11/23/2005 - 04/23/2009
OPPENHEIMER & CO. INC. (NEWPORT BEACH CA)
MO
07/01/2003 - 11/17/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
03/21/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 09/20/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/04/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2024
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2001
Series 7 - General Securities Representative Examination
Active
Inactive
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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