Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathryn? Claim Your ProfileKathryn Johnson Gates is a financial advisor with over 17 years of experience in the financial services industry. Kathryn is currently registered with Osaic Wealth, Inc. and has previously been employed at Morgan Stanley, HRC Investment Services, Inc., LPL Financial LLC, Brown Brothers Harriman & Co., Janney Montgomery Scott LLC, Credit Suisse First Boston Corporation, and Donaldson, Lufkin & Jenrette Securities Corporation. Kathryn holds a Series 7, Series 63, and Series 66 license. She is also licensed in over 30 states. Kathryn is a financial advisor with expertise in financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, and portfolio management for individuals.
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.
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
NY
01/22/2025 - Present
Osaic Wealth, Inc. (ALBANY NY)
NY
06/19/2013 - 02/08/2021
MORGAN STANLEY (ALBANY NY)
NY
03/26/2013 - 05/31/2013
HRC INVESTMENT SERVICES, INC. (GLEN HEAD NY)
NY
07/04/2011 - 02/14/2013
LPL FINANCIAL LLC (SCHENECTADY NY)
NY
10/15/2002 - 12/05/2007
BROWN BROTHERS HARRIMAN & CO. (NEW YORK NY)
PA
09/23/2002 - 09/27/2002
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
NY
02/02/2001 - 07/09/2002
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NJ
09/22/1999 - 07/09/2002
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BOTH
Issued 06/26/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/04/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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