Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Valentine is an experienced financial professional with over 40 years of experience in the industry. Kathleen is registered with Morgan Stanley, working out of the Palm Desert, CA branch office. Kathleen has also previously held positions at Citigroup Global Markets Inc., UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Shearson Lehman Hutton Inc., E. F. Hutton & Company Inc. and Lehman Brothers Kuhn Loeb Incorporated. Kathleen is a registered representative and investment advisor. Kathleen has Series 7, SIE, and 63 and 65 licenses. Kathleen has a broad range of experience in financial planning, portfolio management, and other services. Kathleen specializes in providing services for individuals, high net worth individuals, investment companies, insurance companies, charitable organizations, pension and profit-sharing plans, corporations or other businesses, banking or thrift institutions, and state or 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/19/2020 - Present
Morgan Stanley (Palm Desert CA)
CA
12/01/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PALM DESERT CA)
CA
07/12/1999 - 12/08/2008
UBS FINANCIAL SERVICES INC. (INDIAN WELLS CA)
NY
05/15/1990 - 07/14/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/10/1984 - 06/06/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
01/19/1984 - 11/16/1984
E. F. HUTTON & COMPANY INC
NA
12/21/1983 - 01/30/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
IA
Issued 03/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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