About Kathleen Engler Malone

As a dedicated financial consultant, I am committed to helping individuals secure their financial future with a compassionate and inclusive approach. My journey began as a teenager working at Merrill Lynch under my father’s guidance, sparking a lifelong passion for finance. With nearly four decades of experience, I provide personalized financial advice and stock brokerage services, empowering clients—including those facing financial challenges—to build a secure and prosperous future.

My focus on aligning investments with personal values and my dedication to thoughtful succession planning ensure that my clients are well taken care of now and in the years to come. I’m excited to continue this work for at least another decade, carrying forward a legacy of integrity and financial stewardship.

Qualifications

General Industry/Product Exams Passed:

Securities Industry Essentials Examination (2018)

General Securities Representative Examination - Series 7 (1986)

State Securities Law Exams Passed:

Uniform Investment Adviser Law Examination - Series 65 (1997)

Uniform Securities Agent State Law Examination - Series 63 (1986)

Registered with

6 Self-Regulatory Organizations (SROs) and 34 U.S. states/territories