Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Jane Shafer is a financial advisor with over 20 years of experience in the industry. Kathryn currently works at Osaic FA, Inc. located in Williamsville, NY. Kathryn has held previous positions with MML Investors Services, LLC, MONY Securities Corporation and Pruco Securities Corporation. Kathryn holds FINRA Series 6, 63 and SIE licenses and is registered in New York. Kathryn specializes in Retirement Planning, Financial Planning, Portfolio Management, Investment Advisory Services and Retirement Plan Consulting.
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.
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.
Retirement plan consulting services provided on a limited basis.
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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2
NY
02/04/2015 - Present
Osaic FA, Inc. (WILLIAMSVILLE NY)
NY
06/04/2005 - 02/05/2015
MML INVESTORS SERVICES, LLC (AMHERST NY)
NY
08/09/2002 - 04/18/2005
MONY SECURITIES CORPORATION (NEW YORK NY)
NJ
02/07/2000 - 08/28/2002
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 02/27/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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