Kathleen Ward, financial advisor Brentwood TN
93 score

Kathleen Ward

CRD Number: 5496004
Current Firm: Raymond James Financial Services Advisors, Inc.

Kathleen Ward (CRD# 5496004) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Brentwood, TN and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Raymond James Financial Services Advisors Inc. Brentwood, TN Oct 2017 - Current < 1
Wells Fargo Advisors Brentwood, TN Jun 2014 - Oct 2017 3
Surgicor, LLC Franklin, TN Jan 2014 - Jun 2014 < 1
Wachovia Securities, LLC Brentwood, TN Feb 2008 - Jan 2014 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2009
Contact Info for Kathleen W. Ward
Phone Number: 727-567-3020
Registered State(s):
  • TN
  • TX
By the Numbers
  • Total Assets Under Management
    81,239
    MILLIONS
  • Total Number of Accounts
    280,698
    ACCOUNTS
  • Average Account Value
    $289,416
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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, WY

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

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