Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Erickson has been in the financial services industry since 1999. Currently registered with Commonwealth Financial Network, Kathleen is licensed to offer investment advice in Connecticut, Florida, Massachusetts, Rhode Island and Virginia. Previously, Kathleen worked at INFINEX INVESTMENTS, INC. , PEOPLE'S SECURITIES, INC. and ADVEST, INC. Kathleen holds Series 7, 24, 63 and 65 licenses. Kathleen specializes in working with individuals, high-net-worth individuals, corporations, charitable organizations, pension plans and state and municipal government entities.
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.
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CT
11/16/2012 - Present
Commonwealth Financial Network (GLASTONBURY CT)
CT
07/21/2004 - 09/24/2012
INFINEX INVESTMENTS, INC. (SOUTH WINDSOR CT)
CT
03/21/2001 - 07/06/2004
PEOPLE'S SECURITIES, INC. (BRIDGEPORT CT)
CT
04/07/1999 - 02/09/2001
ADVEST, INC. (HARTFORD CT)
IA
Issued 05/03/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/18/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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