Unclaimed Profile

Kathleen Hatleli Rasmussen

PHILLIPS AND COMPANY ADVISORS LLC·PORTLAND, Oregon

SIE, Series 7, Series 24, Series 52TO, Series 63, Series 66Clean record19 years registeredPHILLIPS AND COMPANY ADVISORS LLC

1300 SW FIFTH AVE, PORTLAND, OR 97201CRD# 2608755Firm CRD# 167214

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kathleen Hatleli Rasmussen · PORTLAND, OR

Registration

CRD #2608755 · PHILLIPS AND COMPANY ADVISORS LLC · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PHILLIPS AND COMPANY ADVISORS LLC

PAULSON INVESTMENT ADVISORS, LLC

Nov 2019 – Dec 2024

PORTLAND, OR

PAULSON INVESTMENT COMPANY, LLC

Nov 2019 – Dec 2020

LAKE OSWEGO, OR

UMPQUA INVESTMENTS, INC.

May 2015 – Nov 2019

PORTLAND, OR

UMPQUA INVESTMENTS, INC.

Apr 2015 – Apr 2015

PORTLAND, OR

PHILLIPS & COMPANY

Dec 2013 – Dec 2013

PORTLAND, OR

PHILLIPS AND COMPANY ADVISORS LLC

Dec 2013 – Apr 2015

PORTLAND, OR

RBC CAPITAL MARKETS CORPORATION

Sep 2006 – Jul 2010

PORTLAND, OR

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 52TO

Series 63

Series 66

Registration record

First registered · September 29, 2006

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PHILLIPS AND COMPANY ADVISORS LLC

CRD 167214 · SEC 801-63879

AUM

$1.4B

Regulatory assets under management

Employees

1,384 client accounts

Services offered by PHILLIPS AND COMPANY ADVISORS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PHILLIPS AND COMPANY ADVISORS LLC →

Introduction

Speak with Kathleen

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Kathleen is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in PORTLAND?

Browse all registered financial advisors in PORTLAND, Oregon or claim this profile if it's yours.

Browse PORTLAND Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Kathleen Hatleli Rasmussen offer?

Kathleen Hatleli Rasmussen specializes in Financial Planning, Investment Management, Wealth Management.

What are Kathleen Hatleli Rasmussen's credentials?

Kathleen Hatleli Rasmussen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kathleen Hatleli Rasmussen located?

Kathleen Hatleli Rasmussen is based in PORTLAND, Oregon, last registered with PHILLIPS AND COMPANY ADVISORS LLC.

How does Kathleen Hatleli Rasmussen charge for services?

Kathleen Hatleli Rasmussen's firm is compensated through percentage of aum, hourly charges, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PHILLIPS AND COMPANY ADVISORS LLC?

PHILLIPS AND COMPANY ADVISORS LLC has approximately 22 employees and manages $1.4B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →