Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Graham is a financial professional with over 35 years of experience in the industry. Kathleen currently works with Kestra Advisory Services, LLC in their Austin, TX office. Kathleen has passed a number of industry exams including Series 7, Series 6, Series 22, Series 24, Series 63 and Series 65. Kathleen is registered in 11 states and has worked previously with a number of other firms including LPL Financial, LLC, Wells Fargo Advisors, LLC, Edward Jones and USAA Investment Management Company. Kathleen provides investment advisory services, portfolio management and financial planning services to individuals, high net worth individuals, corporations, and other businesses.
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.
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
TX
11/09/2021 - Present
Kestra Advisory Services, LLC (San Antonio TX)
TX
10/13/2016 - 11/19/2021
LPL FINANCIAL LLC (SAN ANTONIO TX)
TX
01/03/2011 - 10/19/2016
WELLS FARGO ADVISORS, LLC (SAN ANTONIO TX)
TX
10/02/2006 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN ANTONIO TX)
TX
08/15/2001 - 10/09/2006
EDWARD JONES (HELOTES TX)
TX
02/27/1998 - 01/31/2001
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
TX
07/27/1995 - 04/23/1996
BHCM INC. (HOUSTON TX)
TX
02/09/1983 - 08/09/1994
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
NA
02/15/1982 - 02/22/1983
WADDELL & REED, INC.
IA
Issued 05/03/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/05/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/1984
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
BC
Issued 03/14/1983
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 12/22/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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