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KH

Kathleen C. Harney

PACIFIC WEALTH CARE
YORBA LINDA, CA
Some features on this profile are disabled
CRD#: 2586932
KH

Professional summary

Kathleen Claire Harney, who also goes by Kathleen Harney, is a registered financial advisor currently at PACIFIC WEALTH CARE INC. located in Yorba Linda, California.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kathleen has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 2 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathleen Harney

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) RENTAL PROP-BROADWAY/RENTAL PROPERTY LESUEUR/RENTAL PROPERTY DOBSON AND ALSO 50% OWNER OF RENTAL PROPERTY "B STREET" IN LINCOLN NEBRASKA; POSITION: CO-OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/22/2012 ADDRESS: Mesa AZ , United States DESCRIPTION: owner 2) 2 RESIDENTIAL RENTAL PROPERTIES - RENTAL PROPERTY SARAH WAY/ ANAHEIM CALIFORNIA POSITION: OWNER NATURE: RENTAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: null START DATE: 01/01/1979 DESCRIPTION: Rental real estate 3) KATHLEEN HARNEY ACCT CORP POSITION: OTHER - CPA, PRESIDENT NATURE: CPA firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 10/01/1981 MY DUTIES RELATING TO THIS BUSINESS: DOING TAX RETURNS OR TAX PLANNING RELATED WORK

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Claire Harney's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 24, 2000 - Present

PACIFIC WEALTH CARE INC.

RIA
CRD#: 130856
YORBA LINDA, CA
Past

July 31, 1999 - August 1, 2019

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
YORBA LINDA, CA
Past

February 24, 1999 - June 22, 1999

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(10/24/2000)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/31/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/22/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 2
Date: 2/1/1995
Non-Member General Securities Examination

Current Firm

PW
PACIFIC WEALTH CARE INC.
PACIFIC WEALTH CARE INC.

CRD#: 130856 / SEC#:

California
Registered Investment Advisory firm - (10/24/2000 Approved)
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Contact information

Main Address
Yorba Linda, CA
Mailing Address
Phone number
(714) 528-4741
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts41
AUM (Assets Under Management)$ 60,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PACIFIC WEALTH CARE INC.

CRD#: 130856Yorba Linda, CA

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