Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Vicklun has been a registered representative in the financial services industry since December 7, 2010. Kathy is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in California and Texas and is licensed to provide investment advice in 35 states. Kathy has obtained several industry licenses including the Series 7, Series 66 and the SIE. Kathy has a strong focus on working with corporations, individuals, high-net-worth individuals, and charitable organizations. Kathy is committed to providing her clients with a comprehensive range of financial services, including portfolio management, financial planning, and investment research.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
04/28/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN DIEGO CA)
BOTH
Issued 03/16/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/06/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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