Unclaimed
Kathryn L Wallace is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm with a long history of providing financial services. Kathryn has been working in the financial industry since 1994 and is licensed to provide investment advice in Kansas and Texas. Kathryn has a wide range of experience in the financial services industry and specializes in working with a diverse clientele including high-net-worth individuals, corporations, and retirement plans. Kathryn can provide a variety of services including portfolio management, performance measurement reports, allocation modeling, IPS, research reports and services, as well as selection of other advisers.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MI
04/30/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FARMINGTON HILLS MI)
KS
04/26/2004 - 04/30/2021
IVY DISTRIBUTORS, INC. (OVERLAND PARK KS)
KS
04/16/2004 - 04/30/2021
WADDELL & REED (OVERLAND PARK KS)
MA
01/05/2001 - 09/02/2003
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MA
07/09/1998 - 01/16/2001
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
CT
07/21/1995 - 07/08/1998
PILGRIM AMERICA SECURITIES, INC. (WINDSOR CT)
AZ
06/13/1994 - 07/28/1995
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NA
06/08/1992 - 05/18/1994
AMERICAN CAPITAL MARKETING, INC.
IA
Issued 03/01/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/12/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/23/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/24/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/1995
Series 7 - General Securities Representative Examination
BC
Issued 06/05/1992
Series 6 - Investment Company Products/Variable Contracts 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
Not sure Kathryn Wallace is the right advisor for you? Invested Better is here to help.