Kathryn Gates is a registered investment advisor at Janney Montgomery Scott LLC, based in Albany, NY, with 22 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 239,256 clients with $100B in assets under management.
Compensation
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Number of Clients
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Assets Under Management
Fee Structure
Janney charges a fee based on a percentage of the assets managed in your account. This fee covers investment management, trading, custody, and performance reporting. Fees are negotiable and may vary based on the size of your account and the services provided. Janney may also offer investment advisory services on a non-wrap basis, where you pay separately for transactions and custody.
Location
22 Corporate Woods Boulevard, 4th Floor, Albany, NY, 12211
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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 →Employment History
Current Registrations
Janney Montgomery Scott LLCBroker
Janney Montgomery Scott LLC
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Morgan Stanley
Morgan StanleyBroker
Hrc Investment Services, INC.Broker
LPL Financial LLCBroker
Brown Brothers Harriman & CO.Broker
Janney Montgomery Scott LLCBroker
Credit Suisse First Boston CorporationBroker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
State Registrations44 states
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