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Kathleen Witt

Raymond James Financial Services Advisors, INC
39 Years of Experience
Tucson, AZ
1 DisclosureBroker
View SEC Summary
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Kathleen Witt is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Tucson, AZ, with 39 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 Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1200 El Dorado Place, Building E, Suite 520, Tucson, AZ, 85715

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kathleen owns rental real estate and is on the finance subcommittee for Pima College, dedicating minimal time to each. She also has an ownership role in Witt Financial, but spends minimal time on it.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
November 2012 - Present · 13 yrs 11 mos
Raymond James Financial Services, INC.Broker
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
LPL Financial LLC
January 2011 - November 2012 · 1 yr 10 mos
LPL Financial LLCBroker
January 2011 - November 2012 · 1 yr 10 mos
Stifel, Nicolaus & Company, Incorporated
February 2010 - December 2010 · 10 mos
Stifel, Nicolaus & Company, IncorporatedBroker
February 2010 - December 2010 · 10 mos
RBC Capital Markets Corporation
November 2006 - February 2010 · 3 yrs 3 mos
RBC Capital Markets CorporationBroker
December 2002 - February 2010 · 7 yrs 2 mos
Morgan Stanley Dw INC.Broker
April 1987 - December 2002 · 15 yrs 8 mos
State Registrations25 states
ARAZCACOFLGAIDILKYMDMIMNMOMTNMNVNYOKORPASCTXVAWAWI
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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