Kathleen Fanelli, financial advisor San Diego CA
96 score

Kathleen Fanelli

CRD Number: 4628214
Current Firm: Girard Securities, Inc.

Kathleen Fanelli (CRD# 4628214) is an Investment Advisor Representative working at Girard Securities, Inc. in San Diego, CA and has over 13 years of experience in the finance industry. Kathleen Fanelli has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
United Capital Financial Advisers, LLC Newport Beach, CA Jun 2009 - Current 7
Girard Securities, Inc. San Diego, CA Sep 2008 - Current 8
United Capital Financial Advisers, Inc. Newport Beach, CA Sep 2008 - Jun 2009 < 1
Oppenheimer & Company Inc. San Francisco, CA Mar 2004 - Sep 2008 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2003
Contact Info for Kathleen H. Fanelli
Phone Number: 858-622-2140
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    646
    MILLIONS
  • Total Number of Accounts
    3,210
    ACCOUNTS
  • Average Account Value
    $201,360
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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