Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Martorano is an investment professional with over 20 years of experience in the financial services industry. Kathleen is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. where Kathleen's primary office location is in Chicago, Illinois. Before joining Merrill Lynch, Pierce, Fenner & Smith Inc. Kathleen was employed by ROBERT W. BAIRD & CO. INCORPORATED, Morgan Stanley & Co. Incorporated, Charles Schwab & Co., Inc., Chase Investment Services Corp., BANC ONE SECURITIES CORPORATION, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kathleen has a strong background in securities and investments and holds several industry licenses including Series 7, Series 10, Series 9, Series 31, and Series 66. Kathleen is a member of FINRA.
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
IL
11/20/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
IL
08/11/2008 - 11/09/2018
ROBERT W. BAIRD & CO. INCORPORATED (CHICAGO IL)
IL
12/04/2007 - 07/08/2008
MORGAN STANLEY & CO. INCORPORATED (CHICAGO IL)
CA
12/21/2005 - 10/09/2007
CHARLES SCHWAB & CO., INC. (NEWPORT BEACH CA)
IL
07/06/2005 - 10/25/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
IL
08/18/2003 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
01/26/1999 - 01/04/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
03/19/1998 - 01/25/1999
VAN KAMPEN FUNDS INC. (HOUSTON TX)
BOTH
Issued 08/13/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/13/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/09/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 08/15/2003
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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