Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Futey is a financial advisor with over 27 years of experience in the industry. Kathleen is currently registered with LPL Financial LLC and has been with the firm since 2010. Before joining LPL Financial LLC, Kathleen worked at several other firms including Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Kathleen specializes in providing financial planning, portfolio management for individuals and businesses, and selection of other advisers.
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.
Consulting and other non-discretionary advisory services
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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2
OH
05/06/2013 - Present
LPL Financial LLC (AURORA OH)
OH
06/01/2009 - 11/19/2010
MORGAN STANLEY SMITH BARNEY (BEACHWOOD OH)
OH
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (BEACHWOOD OH)
OH
12/22/1999 - 04/02/2007
MORGAN STANLEY DW INC. (BEACHWOOD OH)
GA
12/21/1998 - 12/10/1999
FOUR SEASONS SECURITIES, INC. (AUGUSTA GA)
GA
10/04/1993 - 01/01/1999
WHEELER SECURITIES, INC. (AUGUSTA GA)
GA
04/14/1993 - 12/01/1993
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 03/09/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/13/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/09/1999
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/22/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/26/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/1993
Series 7 - General Securities Representative Examination
BC
Issued 04/13/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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