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Business Description |
Kathryn L. Fitzgerald is a Certified Financial Planner with a Master's of Science degree in Personal Financial Planning. Kathryn has been providing financial planning services and investment advisory services for over 12 years in Napa County and the surrounding areas. She has over 20 years experience in the financial services industry.
Kathryn is a Registered Representative with National Securities Corporation and an Investment Advisor Representative with National Asset Management, Inc.
Securities offered through National Securities Corporation. Member FINRA/SIPC. Accounts are carried by National Financial Services LLC, Member NYSE/SIPC. Investment Advisory services are offered through National Asset Management, Inc., A Registered Investment Advisor. |
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General Information |
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| Insurance License#: |
OA40771
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| Name of Broker/Dealer: |
National Securities Corporation
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| States Licensed in: |
CA NV AZ
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| States Willing to do Business in: |
CA NV AZ
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| Years of Experience in Financial Services: |
23
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| Number of Years with Current Firm: |
1.5
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| I work with the following types of clients: |
Individual Investors, Businesses
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Education |
| Academic Background |
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BS UC Davis
MS College of Financial Planning |
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Insurance, Mutual Funds, Alternative Investments
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant
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| Securities Licenses: |
Series 24, Series 7, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Variable Life, Disability, Variable Annuity, Long Term Care, Life, Health, Accident, Annuity
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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| Non-Financial Organization Memberships: |
Professional Business Networks
Napa Success Connection
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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Compliance |
| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$25,000
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| Compensation Methods: |
Based on Assets, Commissions, Flat Fee
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| Minimum Fee Charged for Managed Accounts: |
1.0%
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| Minimum Fee Charged for Flat Fee Accounts: |
$1500
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| Prepared By: |
Kathryn Fitzgerald |
Frequently Asked Questions |
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