Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Francine Daly is a financial advisor with over 30 years of experience in the industry. Kathy is currently registered with Stifel, Nicolaus & Company, Inc. in both Indiana and Texas. Kathy also has previous experience with City Securities Corporation, NatCity Investments, Inc., NatCity Insurance Services, Inc., Liberty Securities Corporation, Independent Financial Securities, Inc., Raffen-sperger, Hughes & Co., Inc., and K. J. Brown & Co., Inc. Kathy holds a Series 63, Series 65, Series 7, and SIE licenses. Kathy specializes in providing financial planning, pension consulting, and portfolio management services for individuals and businesses. Kathy also offers educational seminars for clients.
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
IN
11/03/2020 - Present
Stifel, Nicolaus & Company, Inc. (INDIANAPOLIS IN)
IN
04/14/2004 - 02/28/2017
CITY SECURITIES CORPORATION (MUNCIE IN)
OH
07/14/1995 - 04/15/2004
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
OH
01/04/1999 - 12/31/2001
NATCITY INSURANCE SERVICES, INC. (CLEVELAND OH)
NY
08/03/1998 - 01/04/1999
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NA
05/03/1996 - 08/03/1998
INDEPENDENT FINANCIAL SECURITIES, INC.
IN
02/13/1989 - 07/14/1995
RAFFENSPERGER, HUGHES & CO., INC. (INDIANAPOLIS IN)
NA
12/18/1985 - 02/13/1989
K. J. BROWN & CO., INC.
IA
Issued 09/06/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1985
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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