Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Toolen is a financial advisor at Raymond James & Associates, Inc. Kathleen has been in the financial services industry since 1989. Kathleen has held several positions with various firms, including UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Wachovia Securities, LLC. Kathleen is registered with the state of New Jersey, New York and Florida. Kathleen holds the Series 7, Series 63, and Series 65 licenses.
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
NJ
08/15/2022 - Present
Raymond James & Associates, Inc. (PARAMUS NJ)
NJ
03/29/2021 - 07/29/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FLORHAM PARK NJ)
NJ
03/21/2007 - 03/16/2021
UBS FINANCIAL SERVICES INC. (PARAMUS NJ)
NJ
03/01/2006 - 03/22/2007
WACHOVIA SECURITIES, LLC (PARAMUS NJ)
NJ
10/01/2000 - 05/25/2005
UBS SERVICES USA LLC (WEEHAWKEN NJ)
NJ
05/18/1993 - 06/08/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
07/21/1989 - 04/07/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
11/25/1987 - 08/07/1989
OPPENHEIMER & CO., INC.
IA
Issued 12/01/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/21/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/2000
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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