Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Antoinette Graham is a financial advisor with over 30 years of experience in the financial services industry. Kathleen is currently registered with Osaic Wealth, INC. in Scottsdale, AZ, and Elyria, OH. Previously, Kathleen has held positions at Securities America, INC., AXA Advisors, LLC, Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, Ameriprise Financial Services, INC., Mid-Ohio Securities Corp, Valmark Securities, INC., TD Waterhouse Investor Services, INC., Everen Securities, INC., Charles Schwab & Co., INC., A. G. Edwards & Sons, INC. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kathleen holds a Series 7, 3, 9, 10, 24, 52, 53 and 66 license. Kathleen is also licensed to sell insurance and provides financial planning and investment advisory services to a wide range of clients, including individuals, families, businesses, and institutions.
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.
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.
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AZ
06/14/2024 - Present
Osaic Wealth, Inc. (SCOTTSDALE AZ)
OH
08/19/2014 - 06/14/2024
SECURITIES AMERICA, INC. (Elyria OH)
OH
08/21/2012 - 08/08/2014
AXA ADVISORS, LLC (CLEVELAND OH)
HI
06/01/2009 - 08/03/2012
MORGAN STANLEY SMITH BARNEY (HONOLULU HI)
OH
04/23/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CLEVELAND OH)
NY
01/15/2008 - 04/14/2008
AMERIPRISE FINANCIAL SERVICES, INC. (MELVILLE NY)
NJ
08/03/2005 - 01/08/2008
AMERIPRISE FINANCIAL SERVICES, INC. (SADDLE BROOK NJ)
OH
04/26/2004 - 07/11/2005
MID-OHIO SECURITIES CORP (ELYRIA OH)
OH
04/28/2000 - 04/16/2004
VALMARK SECURITIES, INC. (AKRON OH)
NE
08/02/1999 - 04/19/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
MO
03/12/1998 - 07/15/1999
EVEREN SECURITIES, INC. (ST. LOUIS MO)
TX
08/20/1992 - 03/18/1997
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
MO
10/31/1991 - 08/13/1992
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
09/09/1991 - 10/03/1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 2/16/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 9/2/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 6/29/2001
Series 24 - General Securities Principal Examination
BC
Issued 7/17/2000
Series 53 - Municipal Securities Principal Examination
BC
Issued 9/22/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/23/2011
Series 3 - National Commodity Futures Examination
BC
Issued 9/6/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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