Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Walton is a financial advisor registered with R. F. Lafferty & Co., Inc., based in New York, NY. Kathleen has extensive experience in the financial services industry, having previously worked with Scarsdale Equities LLC, Puplava Securities, Inc., Soleil Securities Corporation, Deutsche Bank Securities Inc., Warburg Dillon Read LLC, SBC Warburg Dillon Read Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kathleen has a strong focus on portfolio management for individuals, and has a Series 7, 24, 63, 79 and SIE license.
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.
Helps you choose top advisors aligned with your financial goals.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
03/25/2024 - Present
R. F. Lafferty & CO., Inc. (NEW YORK NY)
NY
09/08/2008 - 12/22/2020
SCARSDALE EQUITIES LLC (NEW YORK NY)
NY
11/16/2006 - 09/08/2008
PUPLAVA SECURITIES, INC. (NEW YORK NY)
NY
05/01/2003 - 10/23/2006
SOLEIL SECURITIES CORPORATION (NEW YORK NY)
NY
09/01/1999 - 06/04/2002
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
06/29/1998 - 07/08/1999
WARBURG DILLON READ LLC (NEW YORK NY)
CT
05/13/1998 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
10/28/1993 - 03/20/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
02/26/1987 - 05/29/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 06/13/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/05/2022
Series 24 - General Securities Principal Examination
BC
Issued 07/05/2022
Series 7TO - General Securities Representative Examination
BC
Issued 07/05/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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