Unclaimed
Kay Kiefer Schatz is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Kay has been in the securities industry since May 23, 1999. Kay is registered in 46 states and has passed the Series 63, 65, 7 and SIE exams. Kay has been with Merrill Lynch since December 2010 and previously worked with WELLS FARGO INVESTMENTS, LLC and WELLS FARGO BROKERAGE SERVICES, L.L.C. Kay specializes in investment management services for individuals, businesses, pension plans and charitable organizations. Kay is also licensed to provide financial planning services and has experience in portfolio management for investment companies.
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
SD
12/17/2010 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SIOUX FALLS SD)
SD
12/13/2000 - 12/14/2010
WELLS FARGO INVESTMENTS, LLC (SIOUX FALLS SD)
MN
05/24/1999 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
IA
Issued 10/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/25/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1999
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
Not sure Kay Schatz is the right advisor for you? Invested Better is here to help.