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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kathy? Claim Your ProfileKathy Petersen is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Kathy has been in the financial industry since April 18, 1997, and holds a Series 7, 63, 24, 65 and SIE license. Kathy is a registered Investment Advisor in California and Texas. Previous experience includes roles at KMS Financial Services, Inc., Securities America, Inc. and First Allied Securities, Inc. Kathy has also worked as a co-owner with other family members in a rental property investment.
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
02/14/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN DIEGO CA)
WA
11/06/2020 - 09/27/2022
SECURITIES AMERICA, INC. (LYNNWOOD WA)
CA
01/01/2008 - 11/06/2020
KMS FINANCIAL SERVICES, INC. (POWAY CA)
CA
02/25/2003 - 12/16/2005
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CA
09/26/2000 - 07/26/2001
FIRST ALLIED SECURITIES, INC. (SAN DIEGO CA)
CO
09/03/1996 - 10/29/1999
EBI SECURITIES CORPORATION (ENGLEWOOD CO)
CO
08/17/1992 - 08/09/1996
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IA
Issued 12/6/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/13/1992
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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