Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theresa? Claim Your ProfileTheresa Kost is a financial advisor with RBC Capital Markets, LLC. Theresa is located in Newport Beach, California and has been working in the financial services industry since 1993. Theresa holds Series 7 and Series 63 licenses as well as the Series 65 license and the Securities Industry Essentials Examination. Theresa has been with RBC Capital Markets, LLC since January 2012. Previously, Theresa worked for UBS Financial Services INC. in Newport Beach, California, U.S. BANCORP PIPER JAFFRAY INC in Minneapolis, Minnesota, INVESTMENT MANAGEMENT & RESEARCH, INC. in St. Petersburg, Florida, FORUM FINANCIAL SERVICES, INC. in Portland, Maine and DAIN BOSWORTH INCORPORATED.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
01/12/2012 - Present
RBC Capital Markets, LLC (NEWPORT BEACH CA)
CA
10/22/1999 - 01/20/2012
UBS FINANCIAL SERVICES INC. (NEWPORT BEACH CA)
MN
08/26/1996 - 11/19/1999
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
FL
03/31/1995 - 08/29/1996
INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)
ME
12/02/1993 - 04/05/1995
FORUM FINANCIAL SERVICES, INC. (PORTLAND ME)
NA
06/25/1993 - 10/27/1993
DAIN BOSWORTH INCORPORATED
IA
Issued 12/30/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/02/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/1993
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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