Kathleen Baez is a registered investment advisor, based in San Diego, CA, with 20 years of industry experience.
Location
San Diego, CA
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Regulatory History
Clean regulatory record
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.
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Kathleen operates InvestEd Consulting as a DBA for her LPL business since 2020. This activity is investment-related.
Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
September 2025 - Present · 8 mos
Raymond James Financial Services, INC.Broker
September 2025 - Present · 8 mos
Previous Registrations
LPL Financial LLC
January 2021 - September 2025 · 4 yrs 8 mos
Integrated Wealth Concepts LLC
January 2020 - January 2021 · 1 yr
LPL Financial LLCBroker
January 2020 - September 2025 · 5 yrs 8 mos
Triad Advisors LLCBroker
January 2019 - December 2019 · 11 mos
Resources Investment Advisors
December 2018 - November 2019 · 11 mos
Independent Financial Partners
January 2016 - December 2018 · 2 yrs 11 mos
LPL Financial LLCBroker
November 2010 - December 2018 · 8 yrs 1 mo
Nrp Advisors, INC.
September 2007 - December 2010 · 3 yrs 3 mos
Nrp Financial, INC.Broker
September 2007 - November 2010 · 3 yrs 2 mos
Wachovia Securities, LLC
October 2006 - September 2007 · 11 mos
Wachovia Securities, LLCBroker
October 2005 - September 2007 · 1 yr 11 mos
State Registrations1 state
CA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.