Kathleen Marie Herget
Professional Summary
Kathleen Marie Herget, who also goes by Kathleen M Gallant, Kathleen M Herget, Kathy Herget, is a registered financial advisor currently at MORAN WEALTH MANAGEMENT, LLC located in Naples, Florida. Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Kathleen has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Kathleen M Gallant, Kathleen M Herget, Kathy Herget
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
MORAN WEALTH MANAGEMENT, LLC | SEAGATE CAPITAL MANAGEMENT | PELICAN BAY CAPITAL MANAGEMENT
Contact Information
Main Address
5801 Pelican Bay Blvd, Suite 110, Naples, FL 34108Phone Number
(239) 920-4440# of Employees
57SEC notice filing (33 States and Territories)
Registered to provide investment advisory services in 33 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
12,260AUM (Assets Under Management)
$5,095,822,670Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
MORAN WEALTH MANAGEMENT, LLC | SEAGATE CAPITAL MANAGEMENT | PELICAN BAY CAPITAL MANAGEMENT
State Registrations and Notice Filings
(9/19/2022)
(11/22/2022)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Marie Herget's CRS (Customer Relationship Summary).
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