Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Dundon is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. She is also a registered representative. Kathleen has been in the financial services industry since 2000. She has experience working for several firms, including Morgan Stanley, PFS Investments Inc., Citigroup Global Markets Inc., and Pruco Securities Corporation. Kathleen has a diverse background in financial services and holds several licenses and certifications.
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
NY
04/19/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
06/01/2009 - 06/18/2015
MORGAN STANLEY (PURCHASE NY)
GA
09/29/2004 - 05/04/2010
PFS INVESTMENTS INC. (DULUTH GA)
NY
08/04/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NJ
07/03/2000 - 12/16/2003
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 02/08/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/23/2006
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 09/22/2004
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2000
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
Not sure Kathleen Dundon is the right advisor for you? Invested Better is here to help.
