Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Margaret Kappen is a registered representative with Centaurus Financial, Inc. Patricia has over 23 years of experience in the financial services industry. Patricia is licensed in California, Florida, Hawaii, Missouri, Nevada, New York, Oregon and Wisconsin. Patricia is also a registered investment advisor representative and holds the Series 6, Series 7, Series 63, and Series 65 licenses. Patricia specializes in providing financial planning and investment advice to individuals and businesses. Patricia is also the owner of San Juan Financial, LTD, which provides accounting, tax preparation and bookkeeping 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.
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.
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.
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CA
02/23/2018 - Present
Centaurus Financial, Inc. (WESTLAKE VILLAGE CA)
CA
08/21/2017 - 02/23/2018
WESTERN INTERNATIONAL SECURITIES, INC. (PASADENA CA)
NV
11/17/2011 - 08/21/2017
FINANCIAL WEST GROUP (RENO NV)
CA
09/03/2010 - 11/21/2011
TORREY PINES SECURITIES, INC. (SAN DIEGO CA)
CA
12/03/2009 - 09/15/2010
SECURITIES AMERICA, INC. (SAN JUAN CAPISTRANO CA)
CA
09/21/2006 - 12/04/2009
GIRARD SECURITIES, INC. (SAN JUAN CAPISTRANO CA)
CA
09/09/2005 - 09/28/2006
INVESTORS CAPITAL CORP. (SAN JUAN CAPISTRAN CA)
KS
08/18/2003 - 09/28/2005
WADDELL & REED, INC. (OVERLAND PARK KS)
AZ
11/26/2001 - 07/22/2003
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
FL
01/23/2001 - 11/12/2001
CARDINAL CAPITAL MANAGEMENT, INC. (MIAMI FL)
AZ
06/11/1999 - 01/30/2001
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IA
Issued 11/05/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/2006
Series 7 - General Securities Representative Examination
BC
Issued 06/09/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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