Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Maria Collins funk is a financial advisor with Wells Fargo Clearing Services, LLC. Kathleen has over 30 years of experience in the financial services industry. Kathleen is registered to provide investment advice in 34 states and the District of Columbia. Kathleen specializes in working with individuals, families, and businesses. Kathleen’s areas of expertise include financial planning, portfolio management, and investment consulting. Kathleen previously worked at A. G. EDWARDS & SONS, INC., TERRA SECURITIES CORPORATION, DEAN WITTER REYNOLDS INC., CAPITAL GROWTH & SHELTER,INC., ROBERT THOMAS SECURITIES, INC, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
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
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (ALBANY NY)
NY
09/08/2004 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ALBANY NY)
IL
02/04/2003 - 01/23/2004
TERRA SECURITIES CORPORATION (SCHAUMBURG IL)
NY
02/19/1993 - 03/07/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
11/19/1992 - 02/23/1993
CAPITAL GROWTH & SHELTER,INC.
FL
07/25/1990 - 12/12/1990
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
NA
04/29/1987 - 10/01/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 09/07/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/24/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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