Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Borkovec is a financial advisor at Charles Schwab & CO., Inc. Kathy has been in the financial services industry since December 1990. Kathy has Series 6, 7, 26, 63, and 66 securities registrations. Kathy has been registered with Charles Schwab & CO., Inc. since December 2005. Kathy also has been registered with Charles Schwab Bank, SSB since January 2006. Previously, Kathy has been registered with VISION INVESTMENT SERVICES, INC., FIFTH THIRD SECURITIES, INC., OLD KENT FINANCIAL ADVISORS, ABN AMRO INVESTMENT SERVICES, INC., CUNA BROKERAGE SERVICES, INC., NORWEST INVESTMENT SERVICES, INC., INVEST FINANCIAL CORPORATION, CITICORP INVESTMENT SERVICES, ESSEX NATIONAL SECURITIES, INC., INVEST FINANCIAL CORPORATION, and MARKETING ONE SECURITIES, INC..
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
IL
01/02/2019 - Present
Charles Schwab & CO., Inc. (Northbrook IL)
IL
10/29/2003 - 12/16/2005
VISION INVESTMENT SERVICES, INC. (ROSEMONT IL)
OH
05/02/2001 - 10/03/2003
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
MI
12/09/1999 - 05/02/2001
OLD KENT FINANCIAL ADVISORS (GRAND RAPIDS MI)
IL
03/16/1999 - 12/06/1999
ABN AMRO INVESTMENT SERVICES, INC. (CHICAGO IL)
IA
03/24/1998 - 03/18/1999
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
MN
09/26/1997 - 03/13/1998
NORWEST INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
WI
02/02/1996 - 06/26/1997
INVEST FINANCIAL CORPORATION (APPLETON WI)
NY
09/12/1995 - 02/05/1996
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CA
01/14/1994 - 08/24/1995
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
WI
08/12/1992 - 01/25/1994
INVEST FINANCIAL CORPORATION (APPLETON WI)
OR
08/24/1988 - 09/28/1990
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
BOTH
Issued 03/07/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/26/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/23/2003
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/14/1995
Series 7 - General Securities Representative Examination
BC
Issued 08/22/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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