Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Keleher is an active investment advisor representative with RBC Capital Markets, LLC, where Kathleen has been registered since 2022. Kathleen has been in the industry since 1987. Prior to joining RBC Capital Markets, LLC, Kathleen worked at Truist Investment Services, Inc., BB&T Securities, LLC, Morgan Stanley, UBS Financial Services Inc., Prudential Securities Incorporated, PaineWebber Incorporated, Griffin Financial Services, A. F. Best Securities, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kathleen has passed Series 7, Series 63 and SIE exams. Kathleen is also registered as an investment advisor representative in 17 states.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
FL
01/18/2022 - Present
RBC Capital Markets, LLC (BOCA RATON FL)
FL
02/17/2021 - 01/18/2022
TRUIST INVESTMENT SERVICES, INC. (AVENTURA FL)
VA
02/03/2016 - 02/17/2021
BB&T SECURITIES, LLC (RICHMOND VA)
FL
12/04/2009 - 10/09/2015
MORGAN STANLEY (AVENTURA FL)
FL
08/14/2000 - 12/10/2009
UBS FINANCIAL SERVICES INC. (AVENTURA FL)
NY
09/13/1996 - 08/15/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
10/27/1995 - 07/19/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
12/13/1993 - 06/08/1995
GRIFFIN FINANCIAL SERVICES
FL
12/12/1990 - 04/16/1992
A. F. BEST SECURITIES, INC. (CORAL SPRINGS FL)
NY
07/26/1984 - 11/15/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BC
Issued 05/07/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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