Kathleen Ringler
Kathleen Ringler is a registered investment advisor at RBC Capital Markets, LLC, based in Glastonbury, CT, with 24 years of industry experience. Kathleen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Estate Planning, Investment Management, Retirement Planning. Their firm serves 283,910 clients with $310B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
RBC Financial Planning services are offered for a one-time fee, providing a personalized analysis and written advice to help you assess your financial situation and your ability to pursue specific financial goals. Fees are negotiated within a range of $1,000 to $20,000, but in certain cases a fee higher than $20,000 may be negotiated.
Location
200 Glastonbury Blvd, Suite 103, Glastonbury, CT, 06033-4418
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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 Activities
Kathleen is on the CTE Advisory Council for North Kingstown High School, mentoring students and providing business feedback. This activity requires minimal time.
Employment History
Current Registrations
RBC Capital Markets, LLC
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Previous Registrations
Infinex Investments, INC.
Infinex Investments, INC.Broker
Commonwealth Financial NetworkBroker
Legend Equities CorporationBroker
Metlife Securities INC.Broker
Ing Financial Partners, INC.Broker
Interlink Securities CORP.Broker
Mfs Fund Distributors, INC.Broker
State Registrations22 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.