Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Miller is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. She has been in the industry since August 9, 2000. Kathleen holds Series 7, 63, and 66 licenses. Kathleen has previously worked with PNC Investments, UBS Financial Services Inc., Morgan Stanley Smith Barney, and Citigroup Global Markets Inc. She provides portfolio management services to individuals and businesses. Kathleen is also a registered investment advisor in New Jersey and Texas.
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
NJ
06/26/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHESTER NJ)
NJ
01/23/2013 - 04/03/2013
PNC INVESTMENTS (CHESTER NJ)
NJ
12/20/2012 - 01/07/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHESTER NJ)
NJ
07/23/2010 - 08/02/2012
UBS FINANCIAL SERVICES INC. (BEDMINSTER NJ)
NJ
06/01/2009 - 08/09/2010
MORGAN STANLEY SMITH BARNEY (BEDMINSTER NJ)
NJ
02/17/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BEDMINSTER NJ)
BOTH
Issued 06/13/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/22/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2000
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
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