Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Phillips is a financial advisor with LPL Financial LLC and has been in the industry since 1997. Kathy is registered with the state of Oregon and holds Series 63, 65, 7, 31, and SIE licenses. Prior to joining LPL Financial LLC, Kathy worked at Morgan Stanley. Kathy provides a variety of financial services to individuals, businesses, and institutions.
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.
Consulting and other non-discretionary advisory services
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
OR
02/27/2015 - Present
LPL Financial LLC (BEAVERTON OR)
OR
06/01/2009 - 03/11/2015
MORGAN STANLEY (PORTLAND OR)
OR
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PORTLAND OR)
OR
11/27/2000 - 04/02/2007
MORGAN STANLEY DW INC. (PORTLAND OR)
NY
02/26/1997 - 11/20/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 03/07/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/03/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 02/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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