Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen V Hawkins is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Kathleen has been in the securities industry since 2003. Kathleen is registered in Delaware, Texas and other states. Kathleen has experience in providing investment advice to a variety of clients including high net worth individuals, corporations, and charitable organizations. Kathleen has a strong track record of success in the investment industry. Kathleen is committed to providing her clients with personalized investment advice and services to help them achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
DE
11/02/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DOVER DE)
NY
07/28/1998 - 01/25/2000
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BOTH
Issued 09/23/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/22/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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