Kathleen Stephan, financial advisor Bluffton OH
93 score

Kathleen Stephan

CRD Number: 1965333
Current Firm: J.p. Morgan Securities LLC

Kathleen Stephan (CRD# 1965333) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Bluffton, OH and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
J.p. Morgan Securities LLC Bluffton, OH Oct 2012 - Current 4
Chase Investment Services Corp Lima, OH Jun 2010 - Oct 2012 2
Altrusa International Of Lima Lima, OH Jun 2010 - Jun 2011 1
Unemployed Lima, OH Feb 2010 - Jun 2010 < 1
Wachovia Securities, LLC Lima, OH Jan 2008 - Jan 2010 2
Wachovia Securities, LLC Lima, OH Jan 2008 - Jan 2010 2
A. G. Edwards & Sons, Inc. Lima, OH Jun 2007 - Jan 2010 2
Fifth Third Securities Dayton, OH Apr 2004 - May 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1992
S65 NASAA Investment Advisors Law Examination Jan 1993
Contact Info for Kathleen S. Stephan
Phone Number: 800-999-2000
Firm Website: https://www.jpmorgan.com
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    70,743
    MILLIONS
  • Total Number of Accounts
    344,720
    ACCOUNTS
  • Average Account Value
    $205,219
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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