Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Vaughan is a financial advisor with over 25 years of experience in the industry. Kathleen is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc. Kathleen has previously worked at Morgan Stanley, Morgan Stanley & Co. Incorporated, UBS Financial Services Inc., and Piper Jaffray & Co. Kathleen is a licensed securities agent and holds the Series 63, Series 7, Series 9, Series 10, and SIE licenses. Kathleen has a strong track record of providing investment advice to a wide range of clients, including individuals, families, businesses, and institutions. Kathleen is committed to helping clients reach 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MN
05/03/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BLOOMINGTON MN)
MN
06/01/2009 - 05/13/2016
MORGAN STANLEY (BLOOMINGTON MN)
MN
01/30/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MINNEAPOLIS MN)
MN
08/12/2006 - 02/11/2009
UBS FINANCIAL SERVICES INC. (ST PAUL MN)
MN
04/16/1996 - 08/12/2006
PIPER JAFFRAY & CO. (ST PAUL MN)
MN
09/26/1995 - 04/11/1996
PRIMEVEST FINANCIAL SERVICES, INC. (ST. CLOUD MN)
BC
Issued 10/04/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/06/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/25/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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