Kathryn Ufferman (CRD# 4743663) is an Investment Advisor Representative working at Lpl Financial LLC in New Albany, OH and has over 20 years of experience in the finance industry.
CRD# 2483337
Stratos Wealth Partners, Ltd
CRD# 5207204
Shuttleworth & Company
CRD# 2278230
Lpl Financial LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Lpl Financial, LLC | New Albany, OH | Oct 2019 - Current | 4 |
| Maxwell Financial Mgmt | Columbus, OH | Apr 2005 - Current | 19 |
| Fsc Securities Corporation, Inc. | Worthington, OH | Nov 2005 - Oct 2019 | 13 |
| Fsc Agency | Atlanta, GA | Nov 2005 - Oct 2019 | 13 |
| Maxhill Group LLC | New Albany, OH | Jun 2012 - Dec 2015 | 3 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Feb 2004 |
| S66 | NASAA Uniform Combined State Law Examination | Jun 2016 |
- OH
- TX
-
Total Assets Under Management463,475MILLIONS
-
Total Number of Accounts1,910,545ACCOUNTS
-
Average Account Value$242,588
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- 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
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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