Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Racette has been in the financial services industry since 1995 and has a history of experience with both Wells Fargo Clearing Services, LLC and A. G. Edwards & Sons, Inc. Kathleen has also worked with Waterhouse Securities, Inc. in the past. Kathleen currently holds registrations in 31 states and is registered in both California and Texas for investment advisory services. Kathleen is also registered to provide financial planning services. Kathleen's focus areas include investment consulting services to institutional clients.
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.
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.
Investment consulting services to institutional clients
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
06/13/2011 - Present
Wells Fargo Clearing Services, LLC (RANCHO SANTA FE CA)
CA
02/28/1996 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SAN DIEGO CA)
NE
03/10/1995 - 11/30/1995
WATERHOUSE SECURITIES, INC. (OMAHA NE)
IA
Issued 08/28/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/23/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/1998
Series 3 - National Commodity Futures Examination
BC
Issued 03/09/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Kathleen Racette is the right advisor for you? Invested Better is here to help.
