Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Darcy is a financial advisor with Stifel, Nicolaus & Company, Inc. located in Naperville, Illinois. Kathy has been in the financial industry since March 2011 and has experience with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley. Kathy's experience includes working with a variety of clients, including individuals, businesses, and institutions. Kathy is also a registered Investment Advisor Representative in Illinois.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
IL
08/02/2023 - Present
Stifel, Nicolaus & Company, Inc. (NAPERVILLE IL)
IL
03/26/2019 - 08/09/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HINSDALE IL)
IL
11/24/2017 - 03/15/2019
MORGAN STANLEY (OAK BROOK IL)
IL
04/04/2014 - 03/31/2017
FORESIDE FUND SERVICES, LLC (Chicago IL)
PA
08/01/2013 - 10/03/2013
TOWERS WATSON CAPITAL MARKETS INC. (PHILADELPHIA PA)
IL
06/20/2008 - 01/05/2012
WILLIAM BLAIR & COMPANY L.L.C. (CHICAGO IL)
BOTH
Issued 11/06/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/03/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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