Kathleen Symer, financial advisor Santa Barbara CA
88 score

Kathleen Symer

CRD Number: 6278797
Current Firm: Royal Alliance Associates, Inc.

Kathleen Symer (CRD# 6278797) is an Investment Advisor Representative working at Royal Alliance Associates, Inc. in Santa Barbara, CA and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Royal Alliance Associates, Inc. New York, NY Dec 2013 - Current 3
Pricewaterhousecoopers San Jose, CA Nov 2010 - Dec 2013 3
Parmatech Corp Petaluma, CA Jun 2010 - Sep 2010 < 1
Calpoly University San Luis Obispo, CA Sep 2008 - Jun 2010 1
Miracle Embroidery San Luis Obispo, CA Oct 2008 - May 2010 1
Santa Rosa Junior College Santa Rosa, CA Aug 2005 - Aug 2008 3
Exchange Bank Winsor, CA Jun 2006 - Jan 2008 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2014
Contact Info for Kathleen M. Symer
Phone Number: 800-821-5100 EXT. 5389
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    4,629
    MILLIONS
  • Total Number of Accounts
    19,113
    ACCOUNTS
  • Average Account Value
    $242,202
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
  • Pension consulting services
  • 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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
88
Clean Record
This advisor has a clean track record with regulators.

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