Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Hartley Briner is a registered investment advisor with Stephens. Kathy has been working in the securities industry since May 23, 1987. Kathy is registered with FINRA and has been a registered representative since 1986. Kathy has worked for several firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, LPL Financial LLC, Stanford Group Company, UBS Financial Services Inc., Prudential Securities Incorporated and NBC Capital Markets Group, Inc. Kathy offers investment advice and financial planning services to a variety of clients, including individuals, corporations, and institutions. Kathy's specializations include investment management, financial planning, and retirement planning.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
TN
11/30/2023 - Present
Stephens (MEMPHIS TN)
MS
03/05/2018 - 12/01/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RIDGELAND MS)
MS
05/01/2007 - 11/07/2017
LPL FINANCIAL LLC (JACKSON MS)
TN
01/09/2004 - 02/20/2007
STANFORD GROUP COMPANY (MEMPHIS TN)
NJ
01/19/1996 - 02/03/2004
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
09/19/1991 - 12/08/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
TN
09/25/1986 - 09/04/1991
NBC CAPITAL MARKETS GROUP, INC. (MEMPHIS TN)
BOTH
Issued 03/19/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/02/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1986
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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