Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Barton is a financial advisor with LPL Financial LLC. Kathy has been in the industry since 1997 and has a strong track record of helping clients achieve their financial goals. Kathy is registered in Alabama, Colorado, Florida, Georgia, Montana, North Carolina, Ohio, South Carolina, and Virginia. Kathy also holds Series 6, 7, and 66 licenses. She is a dedicated and experienced financial advisor who is committed to helping clients succeed. Kathy has previously worked with Investment Professionals, Inc., and Wachovia Securities, LLC.
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
GA
07/31/2018 - Present
LPL Financial LLC (ROME GA)
GA
05/16/2012 - 08/03/2018
INVESTMENT PROFESSIONALS, INC. (ROME GA)
GA
11/29/2007 - 05/29/2012
LPL FINANCIAL LLC (ROME GA)
GA
10/18/2005 - 05/07/2007
WACHOVIA SECURITIES, LLC (CALHOUN GA)
AL
07/30/2004 - 11/22/2004
AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)
MO
10/01/2000 - 11/19/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
02/28/1995 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 11/16/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/25/2005
Series 7 - General Securities Representative Examination
BC
Issued 02/27/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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