Kathleen Graham
Kathleen Graham is a registered investment advisor at Osaic Wealth, INC., based in Scottsdale, AZ, with 33 years of industry experience. Kathleen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
18700 N. Hayden Road, Suite 255, Scottsdale, AZ, 85255
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Regulatory History (1)
Judgment / Lien
November 2004Other Business ActivitiesSells Insurance
Kathleen holds an insurance license as a Senior RSSP at Securities America as part of her job duties. This activity requires minimal time.
Employment History
Current Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Mid-Ohio Securities CORPBroker
Valmark Advisers, INC.
Valmark Securities, INC.Broker
TD Waterhouse Investor Services, INC.Broker
Everen Securities, INC.Broker
Charles Schwab & CO., INC.Broker
A. G. Edwards & Sons, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations2 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.