Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathleen? Claim Your ProfileKathleen Yvonne Fahey is a financial advisor with over 40 years of experience in the industry. Kathleen is currently registered with Raymond James & Associates, Inc., a firm with over 1000 investment advisors and offices across the US. Previously, Kathleen worked at UBS Financial Services Inc. Kathleen is a licensed financial advisor with Series 4, 7, 9, 10, 12, 24, 52TO, 53, 63 and 66 licenses.
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.
Please see note in schedule d - miscellaneous
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
FL
05/23/2012 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
NJ
01/19/1981 - 05/07/2012
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 12/09/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/23/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/21/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/29/1990
Series 24 - General Securities Principal Examination
BC
Issued 08/29/1989
Series 4 - Registered Options Principal Examination
BC
Issued 08/21/1982
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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