Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Owens is a financial advisor at Stifel, Nicolaus & Company, Inc. with over 28 years of experience in the industry. Kathleen has been registered with FINRA since August 1993 and has held licenses with several other firms including WELLS FARGO CLEARING SERVICES, LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and EVEREN SECURITIES, INC. Kathleen specializes in providing financial planning services, portfolio management for individuals and businesses, and selection of other advisors. Kathleen currently holds Series 63, SIE and Series 7 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.
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.
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
MI
03/23/2022 - Present
Stifel, Nicolaus & Company, Inc. (OKEMOS MI)
MI
09/29/1999 - 01/10/2022
WELLS FARGO CLEARING SERVICES, LLC (EAST LANSING MI)
NY
02/06/1997 - 10/22/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
MO
08/11/1995 - 07/15/1998
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NY
08/04/1993 - 05/05/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 09/02/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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