Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Ray is a financial advisor with over 17 years of experience in the financial services industry. Kathy is currently registered with Stifel, Nicolaus & Company, Inc. Prior to joining Stifel, Nicolaus & Company, Inc., Kathy was registered with Wachovia Securities, LLC and A. G. Edwards & Sons, Inc.. Kathy specializes in providing financial advice to individuals, families, and businesses. Kathy is a dedicated professional who is committed to helping her clients achieve their financial goals.
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
CA
05/21/2020 - Present
Stifel, Nicolaus & Company, Inc. (AUBURN CA)
CA
01/01/2008 - 06/04/2008
WACHOVIA SECURITIES, LLC (AUBURN CA)
CA
02/09/2006 - 01/03/2008
A. G. EDWARDS & SONS, INC. (AUBURN CA)
BOTH
Issued 05/03/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/12/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/23/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Kathy Ray is the right advisor for you? Invested Better is here to help.
