Kathleen Chiyo Finley

Employer firm

Raymond James Financial Services Advisors, Inc CRD 149018

$390B regulatory AUM 5,542 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2023 → Present
  Raymond James Financial Services, Inc.
  Allen, TX
• 10/2023 → Present
  Raymond James Financial Services Advisors, Inc.
  Allen, TX
• 10/2014 → 10/2023
  Edward Jones
  St Louis, MO

Previous Registrations

• 2015-01-30 → 2023-10-15
  Edward Jones
  Rockwall, TX
  Richardson, TX
  St Louis, MO
  Allen, TX

Other Businesses

(1)Name of Business: Kate Finley Wealth Strategies Address: 700 Central Expy S Ste 400-1, Allen, TX, 75013-8113, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 07/01/2025 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: DBA Only (2)Name of Business: Kathleen C Finley, llc Address: 700 Central Expy S Ste 400-1, Allen, TX, 75013-8113, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 10/12/2023 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 41+ Description of duties: LLC is for the purpose of conducting business with Raymond James as an independent financial advisor.

Exams

• S66 Uniform Combined State Law Examination
  2014-12-05
• S63 Uniform Securities Agent State Law Examination
  2001-09-24

Other Names

• Kathleen C Finley
• Kate Finley