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Kathleen Ortiz

Raymond James & Associates, Inc.

Walnut Creek, CA

Walnut Creek, CA

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Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-03-28
  • CA RA
    APPROVED
    Since 2018-03-28

Branch Locations

2999 Oak Road Suite 1030, Walnut Creek, CA 94597 • United States

Walnut Creek, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Morgan Stanley San Francisco CA 09/2014 12/2016
Sagepoint Financial, Inc. San Francisco CA 12/2016 04/2017
Unemployed Walnut Creek CA 04/2017 03/2018
Raymond James & Associates, Inc Walnut Creek CA 03/2018 Present
  • 09/2014 → 12/2016
    Morgan Stanley
    San Francisco, CA
  • 12/2016 → 04/2017
    Sagepoint Financial, Inc.
    San Francisco, CA
  • 04/2017 → 03/2018
    Unemployed
    Walnut Creek, CA
  • 03/2018 → Present
    Raymond James & Associates, Inc
    Walnut Creek, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-04-24
  • S66 Uniform Combined State Law Examination
    2012-04-24
Other Names
  • Kathleen Mclean

View on SEC IAPD

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Annie Claire Klopstock
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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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