Kathleen Johnston, financial advisor Philadelphia PA
93 score

Kathleen Johnston

CRD Number: 4600406
Current Firm: Advice And Planning Services

Kathleen Johnston (CRD# 4600406) is an Investment Advisor Representative working at Advice And Planning Services in Philadelphia, PA and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
Tiaa Philadelphia, PA Sep 2007 - Current 9
Tiaa-cref Individual & Institutional Services, LLC Philadelphia, PA Sep 2007 - Current 9
Appstar San Diego, CA Jul 2007 - Aug 2007 < 1
Lincoln Financial Group Philadelphia, PA Jun 2007 - Jun 2007 < 1
Pnc Investments Philadelphia, PA Dec 2005 - Jun 2007 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2003
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Kathleen P. Johnston
Phone Number: 212-490-9000
Firm Website: http://www.tiaa.org
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    16,792
    MILLIONS
  • Total Number of Accounts
    45,960
    ACCOUNTS
  • Average Account Value
    $365,356
Compensation Options
  • A percentage of assets under your management
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
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

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BADGES
93

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