Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Whitsel is a financial advisor with Raymond James & Associates, Inc. Kathleen has been in the industry since 1991. She has a wide range of experience in the financial services industry. Kathleen's experience includes working at Deutsche Bank Securities Inc. and UBS PaineWebber Inc. She is dedicated to providing her clients with personalized financial advice and guidance. Kathleen is a registered representative in 30 states. She is also a Series 7, Series 10, Series 9, and Series 63 licensed. Kathleen is committed to helping her 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
03/05/2003 - Present
Raymond James & Associates, Inc. (JACKSONVILLE FL)
NJ
08/23/2002 - 03/10/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
01/13/2001 - 09/04/2002
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
05/03/2000 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
MA
04/01/1998 - 12/14/1998
NATIONSBANC INVESTMENTS, INC. (BOSTON MA)
FL
08/06/1996 - 04/01/1998
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
FL
05/14/1992 - 06/20/1995
BARNETT INVESTMENTS, INC. (JACKSONVILLE FL)
NC
02/10/1990 - 05/19/1992
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NA
04/28/1989 - 04/05/1990
FLORIDA NATIONAL INVESTMENT SERVICES, INC.
BC
Issued 08/02/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/03/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/26/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/15/1989
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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