Kathleen Ringler, financial advisor Glastonbury CT

Kathleen Ringler

CRD Number: 3119335
Current Firm: Rbc Capital Markets, LLC

Kathleen Ringler (CRD# 3119335) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Glastonbury, CT and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Rbc Capital Markets, LLC Glastonbury, CT May 2022 - Current 1
Infinex Investments, Inc. Meriden, CT Oct 2016 - May 2022 5
Chelsea Groton Bank Mystic, CT Oct 2016 - May 2022 5
Commonwealth Financial Network Waltham, MA Jan 2011 - Oct 2016 5
Bank Rhode Island Providence, RI Dec 2010 - Oct 2016 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1999
S65 NASAA Investment Advisors Law Examination Dec 2018
Contact Info for Kathleen A. Ringler
Phone Number: 212-858-7000
Registered State(s):
  • CT
  • TX
By the Numbers
  • Total Assets Under Management
    201,264
    MILLIONS
  • Total Number of Accounts
    451,404
    ACCOUNTS
  • Average Account Value
    $445,862
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • 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, 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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