Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Frazier is a financial advisor with over 30 years of experience in the industry. Kathy is currently registered with J.P. Morgan Securities LLC in New York, Oregon and Texas. Kathy has held previous positions at UBS Financial Services Inc., Morgan Stanley, Morgan Stanley & Co. Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Kathy holds Series 7, 63, 65 and 66 licenses. Kathy specializes in providing financial advice to individuals and businesses.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
08/05/2021 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
HI
11/22/2013 - 08/16/2021
UBS FINANCIAL SERVICES INC. (HONOLULU HI)
HI
06/01/2009 - 12/02/2013
MORGAN STANLEY (HONOLULU HI)
HI
11/01/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (HONOLULU HI)
HI
09/22/2003 - 11/02/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HONOLULU HI)
NY
10/01/1996 - 01/26/2000
GOLDMAN, SACHS & CO. (NEW YORK NY)
NA
10/25/1991 - 10/01/1996
GOLDMAN SACHS MONEY MARKETS, L.P.
NA
11/19/1987 - 10/25/1991
GOLDMAN SACHS MONEY MARKETS INC.
IA
Issued 06/07/2005
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 10/16/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/25/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/18/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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