Kathleen Nemetz

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About Kathleen Nemetz

Kathleen Nemetz, MBA, CFP®, CDFA®, CPFA®, is a CERTIFIED FINANCIAL PLANNER" professional and investment manager with Stratos Wealth Partners in Prescott, Arizona. She works with clients who want to establish sounder financial foundations to pursue their dreams. Kathleen earned her MBA in Finance at Pace University in New York.

As an investment adviser representative, Kathleen offers in-depth knowledge of pre-retirement accumulation strategies and, for retirees, income generation and estate planning. She works closely with the local legal community in planning for legacy gifts, as well as the management and investment of trusts and estates. For clients who depend on their investments, she practices 'prudent man' fiduciary standards.

A former expatriate who lived in France for seven years, Kathleen also offers specialized skills in planning and investing.

See Disclosures

General Information

Firm Start Year

1926

CRD#

4887008

Firm CRD#

6413

Insurance License#

National insurance producer number 8395689

States Licensed in

AZ,CA,GA,TX,WA,WV

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

Stratos Wealth Partners, Ltd. (Investment Adviser) / LPL Financial LLC (Broker-Dealer), Prescott, AZ: 2019 - Present McClurg Capital Corporation, San Rafael, CA: 2013 - 2019 Ameriprise Financial Services, Inc., San Francisco, CA: 2009 - 2013 Ameriprise Advisor Services, Inc., San Francisco, CA: 2006 - 2009 Merrill Lynch, Pierce, Fenner & Smith Inc., Mill Valley, CA: 2005 - 2006

Work with the following types of clients

Individual Investors, Businesses

Foreign Languages Serviced

French

Advisory Services Provided

Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, Wealth Management, Financial Planning for Individuals, Investment Advice & Management

Compliance

Registered Investment Advisor

Registered Representative

Investment Advisor Representative

Acknowledged fiduciary

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

MBA, CFP^®, CDFA^®, CPFA^®

Securities Licenses

SIE, Series 66, Series 7

Insurance and Annuity Licenses

Life, Annuity, Variable Annuity, Variable Life

Firm Information

Advisor's Number of Clients

100+

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

Total Assets Under Management by Advisor

$32M

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$200K

Compensation Methods

Based on Assets, Commissions

Additional Details on Charges

My percentage fee charged to assets under management drops for accounts over $1 million in size. Also I use separately managed accounts managed by outside investment teams on the LPL Platform and fees for these can be higher, depending on the nature of the accounts. Fees for insurance products can vary widely, according to the type of product.

Education

MBA Finance - Portfolio Management

Pace University
10/7/1988 -01/15/1990

Disclosures

PaladinRegistry.com provides referrals to financial professionals of LPL Financial, LLC (LPL). PaladinRegistry.com is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay PaladinRegistry.com cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

Disclaimer

Securities offered through LPL Financial, member of FINRA and SIPC. Investment advice offered by Stratos Wealth Partners, Ltd., a registered investment advisor and a separate entity from LPL Financial.

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Paladin Research Report For:

LPL Financial/ Stratos Wealth