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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 S Maxwell Ufferman is a financial advisor with over 20 years of experience in the financial services industry. Kathryn is a registered representative of LPL Financial LLC, a leading independent broker-dealer and registered investment advisor. Kathryn's primary office location is in New Albany, Ohio. Kathryn specializes in providing financial planning and investment management services to individuals, families, and businesses. She is committed to building long-term relationships with her clients and helping them achieve their financial goals. Kathryn is a CERTIFIED FINANCIAL PLANNER™ professional and a Chartered Financial Consultant. She is also a member of the Financial Planning Association® and the National Association of Personal Financial Advisors®. Kathryn is passionate about helping her clients understand their financial options and make informed decisions about their money. She believes that everyone deserves access to quality financial advice, and she is committed to providing her clients with the guidance and support they need to 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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2
OH
10/01/2019 - Present
LPL Financial LLC (NEW ALBANY OH)
OH
11/07/2005 - 10/03/2019
FSC SECURITIES CORPORATION (NEW ALBANY OH)
IN
06/23/2004 - 11/09/2005
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
06/23/2004 - 11/09/2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
OH
01/21/2004 - 06/14/2004
ONE GROUP DEALER SERVICES, INC. (COLUMBUS OH)
BOTH
Issued 06/08/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/11/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/2008
Series 7 - General Securities Representative Examination
BC
Issued 01/20/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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