Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Conlin has been in the financial services industry since 1981. Kathy is a registered representative with Mariner Independent. Kathy has a wide range of experience in the financial services industry, including experience with Wells Fargo Investments, LLC, Wells Fargo Van Kasper, LLC, Wedbush Morgan Securities Inc., Morgan, Olmstead, Kennedy & Gardner Incorporated, and Bateman Eichler, Hill Richards, Incorporated. Kathy is committed to providing her clients with personalized financial advice and investment management services.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
05/16/2022 - Present
Mariner Independent (Walnut Creek CA)
CA
02/11/2011 - 12/17/2012
STERNE, AGEE & LEACH, INC. (SAN FRANCISCO CA)
CA
10/01/2003 - 02/12/2011
NOLLENBERGER CAPITAL PARTNERS INC. (SAN JOSE CA)
CA
07/11/2001 - 10/07/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
04/18/1990 - 07/11/2001
WELLS FARGO VAN KASPER, LLC (SAN FRANCISCO CA)
CA
11/23/1988 - 04/09/1990
WEDBUSH MORGAN SECURITIES INC. (LOS ANGELES CA)
NA
01/21/1988 - 04/09/1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
NA
08/17/1981 - 01/28/1988
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
IA
Issued 07/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/06/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/16/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/05/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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