Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Kappler is an investment advisor representative with Wealthpenn.comllc in Purchase, NY. Kathy has been in the industry since 2000 and holds licenses in New York, Ohio, and Texas. Kathy has a diverse background in financial services, having previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kathy is a highly experienced financial professional with a strong commitment to providing clients with personalized advice and investment strategies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
03/24/2014 - Present
Wealthpenn.comllc (PURCHASE NY)
OH
03/30/2000 - 03/15/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CANTON OH)
BOTH
Issued 11/3/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 8/24/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 8/5/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 3/29/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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