Kathleen Kaffenberger
Kathleen Kaffenberger is a ChFC-designated registered investment advisor at LPL Financial LLC, based in The Villages, FL, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
The Villages, FL
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Regulatory History
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.
Learn about disclosures →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
LPL Financial LLC
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Invest Financial Corporation
Invest Financial CorporationBroker
Oneida Wealth Management, INC.Broker
Cadaret, Grant & CO., INC.Broker
MML Investors Services, INC.Broker
Leigh Baldwin & CO., LLCBroker
Essex National Securities, INC.Broker
Mony Securities CORP.Broker
The Mutual Life Insurance Company of New YorkBroker
MML Investors Services, INC.Broker
Pruco Securities CorporationBroker
State Registrations11 states
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.