Kathleen Morgan Futey

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 10/2010 → Present
  Lpl Financial, Llc
  Chesterland, OH

Previous Registrations

• 2010-11-08 → 2013-05-02
  Stratos Wealth Partners, Ltd
  Beachwood, OH
• 2009-06-01 → 2010-11-19
  Morgan Stanley
  Beachwood, OH
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Beachwood, OH
• 2003-02-18 → 2007-04-02
  Morgan Stanley Dw Inc.
  Beachwood, OH
  Beachwood, OH

Other Businesses

(1) 10/29/2010: Sonkin Cellars - Not Investment Related - Business Owner - Time Spent 1% - Partner in wine making business. (2) 01/06/2011: Leopold Advisors - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Time Spent 10%. (3) 11/4/2016: Leopold Advisors, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/01/2016 - 40 Hours Per Month/8 Hours During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-03-09
• S63 Uniform Securities Agent State Law Examination
  1993-04-13

Other Names

• Kathleen Lynn Morgan Starrett
• Kathleen Lynn Morgan Futey