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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Mathis is a financial advisor with LPL Financial LLC. Kathryn has been in the financial industry since 1997 and has experience in various roles including financial advisor, registered representative, and supervisor. Kathryn holds Series 7, 9, 10, and 66 licenses as well as a SIE designation. Kathryn has a strong background in helping clients with financial planning, portfolio management, and investment advice. Kathryn is dedicated to providing clients with personalized service and helping 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.
Consulting and other non-discretionary advisory services
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.
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CA
02/11/2021 - Present
LPL Financial LLC (SANTA BARBARA CA)
CA
08/03/2005 - 02/16/2021
WELLS FARGO CLEARING SERVICES, LLC (SANTA BARBARA CA)
MO
09/27/2004 - 06/27/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
01/11/2000 - 11/30/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
MO
08/03/1998 - 03/12/1999
EDWARD D. JONES & CO., L.P. (ST. LOUIS MO)
MN
10/13/1997 - 07/28/1998
NORWEST INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
BOTH
Issued 06/01/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/16/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/16/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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