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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 Garvin is a financial advisor with over 15 years of experience in the industry. Kathryn is registered with Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc., providing investment advisory services. Kathryn is a licensed representative in Colorado and Florida.
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.
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2
FL
02/22/2021 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
CO
11/09/2015 - 02/22/2021
WELLS FARGO CLEARING SERVICES, LLC (GREENWOOD VILLAGE CO)
CO
09/21/2015 - 11/09/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GREENWOOD VILLAGE CO)
CO
09/12/2012 - 07/24/2015
STEPHEN A. KOHN & ASSOCIATES, LTD. (Greenwood Village CO)
CO
11/07/2008 - 09/20/2012
UBS FINANCIAL SERVICES INC. (LITTLETON CO)
CO
05/10/2007 - 11/12/2008
MORGAN STANLEY & CO. INCORPORATED (CENTENNIAL CO)
CO
10/30/2006 - 03/13/2007
COLUMBIA MANAGEMENT DISTRIBUTORS, INC. (AURORA CO)
BOTH
Issued 06/02/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 06/29/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/13/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/07/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 05/09/2007
Series 7 - General Securities Representative Examination
BC
Issued 10/28/2006
Series 6 - Investment Company Products/Variable Contracts 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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