Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Ortiz is a registered representative with Raymond James & Associates, Inc. Kathleen has been in the financial industry since 2010. She is licensed in California and Arizona. Prior to joining Raymond James & Associates, Inc., Kathleen was affiliated with Morgan Stanley and SAGEPOINT FINANCIAL, INC. Kathleen holds a Series 7, Series 66 and SIE license. Kathleen is a dedicated financial advisor who provides financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars 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.
Please see note in schedule d - miscellaneous
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
CA
03/28/2018 - Present
Raymond James & Associates, Inc. (Walnut Creek CA)
CA
12/23/2016 - 05/03/2017
SAGEPOINT FINANCIAL, INC. (SAN FRANCISCO CA)
CA
09/29/2014 - 01/03/2017
MORGAN STANLEY (SAN FRANCISCO CA)
CA
01/28/2010 - 09/17/2014
RAYMOND JAMES & ASSOCIATES, INC. (WALNUT CREEK CA)
BOTH
Issued 04/24/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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