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ChFC
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ChFC

Kathleen Kaffenberger

LPL Financial LLC
38 Years of Experience
East Syracuse, NY
BrokerSells Insurance
View SEC Summary
View SEC Summary

Kathleen Kaffenberger is a ChFC-designated registered investment advisor at LPL Financial LLC, based in East Syracuse, NY, with 38 years of industry experience. Kathleen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

6319 Fly Rd Ste 1, East Syracuse, NY, 13057

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Kathleen has been selling life, long-term care, and disability insurance since 1985 and operates as a financial consultant under the name Marathon Financial Advisors since 2017. Selling securities and insurance products through Marathon Financial Advisors takes nearly a full-time commitment.

Employment History
Current Registrations
LPL Financial LLCBroker
July 2025 - Present · 1 yr 3 mos
LPL Financial LLC
July 2025 - Present · 1 yr 3 mos
Previous Registrations
Cadaret Grant & CO INC
June 2017 - July 2025 · 8 yrs 1 mo
Cadaret, Grant & CO., INC.Broker
June 2017 - July 2025 · 8 yrs 1 mo
Invest Financial Corporation
May 2016 - June 2017 · 1 yr 1 mo
Invest Financial CorporationBroker
April 2016 - June 2017 · 1 yr 2 mos
Oneida Wealth Management, INC.Broker
April 2014 - April 2016 · 2 yrs
Cadaret, Grant & CO., INC.Broker
November 2006 - August 2014 · 7 yrs 9 mos
MML Investors Services, INC.Broker
October 2003 - November 2006 · 3 yrs 1 mo
Leigh Baldwin & CO., LLCBroker
January 1998 - September 2003 · 5 yrs 8 mos
Essex National Securities, INC.Broker
March 1994 - January 1998 · 3 yrs 10 mos
Mony Securities CORP.Broker
November 1989 - October 1992 · 2 yrs 11 mos
The Mutual Life Insurance Company of New YorkBroker
November 1989 - October 1990 · 11 mos
MML Investors Services, INC.Broker
July 1988 - April 1989 · 9 mos
Pruco Securities CorporationBroker
May 1986 - June 1988 · 2 yrs 1 mo
State Registrations11 states
CAFLGAMDNCNJNYOHPASCVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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