Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Vella is a financial advisor with over 20 years of experience in the industry. Kathleen is currently registered with HSBC Securities (USA) Inc. in Buffalo, NY, where Kathleen has been since August 2017. Prior to that, Kathleen worked at MSI Financial Services, Inc. in Aurora, IL, New England Securities in Aurora, IL, and Raymond James Financial Services, Inc. in Clarence, NY. Kathleen also has previous experience with Wachovia Securities, LLC in St. Louis, MO. Kathleen holds Series 7, 9, 10, 63, and SIE licenses and is licensed to sell securities in all 50 states and Washington, D.C.
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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
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.
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2
NY
08/08/2017 - Present
Hsbc Securities (usa) Inc. (Buffalo NY)
IL
02/10/2011 - 12/13/2016
MSI FINANCIAL SERVICES, INC. (AURORA IL)
IL
06/01/2007 - 01/02/2015
NEW ENGLAND SECURITIES (AURORA IL)
NY
01/04/2005 - 05/14/2007
RAYMOND JAMES FINANCIAL SERVICES, INC. (CLARENCE NY)
MO
10/09/2001 - 12/15/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
BC
Issued 02/08/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/19/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/15/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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