Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Ward is an investment advisor representative with Robert W. Baird & Co. Inc., having joined the firm in July 2023. Kathleen has over 13 years of experience in the financial services industry, having previously worked at Raymond James Financial Services, Inc. and Wells Fargo Clearing Services, LLC. Kathleen holds the Series 7, 9, 10, 66 securities licenses and has a Bachelor of Arts degree from Vanderbilt University. Kathleen is committed to providing her clients with personalized financial advice and guidance 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.
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.
Strategic management for diversified investment portfolios.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Hard dollar payments for research
1
2
TN
07/31/2023 - Present
Robert W. Baird & Co. Inc. (NASHVILLE TN)
TN
10/06/2017 - 08/17/2022
RAYMOND JAMES FINANCIAL SERVICES, INC. (BRENTWOOD TN)
TN
07/17/2014 - 10/11/2017
WELLS FARGO CLEARING SERVICES, LLC (BRENTWOOD TN)
TN
02/17/2009 - 01/08/2014
WELLS FARGO ADVISORS, LLC (BRENTWOOD TN)
BOTH
Issued 07/23/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/01/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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