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KM
CFP

Kathleen Muldoon

Raymond James Financial Services Advisors, INC
47 Years of Experience
Dallas, TX
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Kathleen Muldoon is a CFP-designated registered investment advisor at Raymond James Financial Services Advisors, INC, based in Dallas, TX, with 47 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
6696 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

12222 Merit Dr., Ste. 1800, Dallas, TX, 75251

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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
January 2022
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kathleen is involved with several non-profit organizations, primarily serving on finance and investment committees. She also works as an agent for Insurance Designers and UNUM, focusing on term insurance renewals.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
January 2009 - Present · 17 yrs 9 mos
Carter Advisory Services, INC
July 1995 - Present · 31 yrs 3 mos
Raymond James Financial Services, INC.Broker
July 1993 - Present · 33 yrs 3 mos
Raymond James Financial Services, INC.
July 1993 - Present · 33 yrs 3 mos
Previous Registrations
Raymond James Financial Services
October 2005 - January 2009 · 3 yrs 3 mos
Keogler, Morgan & Company, INC.Broker
August 1985 - July 1993 · 7 yrs 11 mos
Fsc Securities CorporationBroker
September 1979 - August 1985 · 5 yrs 11 mos
Preferential Brokerage INC.Broker
June 1979 - November 1979 · 5 mos
State Registrations16 states
ARAZCACOCTFLKSMDMENCNMOHORTXUTWA
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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