Relationship Manager

Kathy Baez, PPC​

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Kathy began her career in the financial services industry in 1995 with Ford Financial Group/WS Griffith Securities in East Hanover, NJ.  In 2004, Kathy moved to San Diego CA and worked as a consultant for WS Griffith Securities, Inc. prior to joining the team of David Utter and Sean Ciemiewicz.  At RBG, Kathy’s wealth of knowledge in helping clients navigate through different clearing platforms such as UBS, National Financial Services, First Clearing Corporation, Pershing, Charles Schwab and LPL Financial is a valuable asset to the group.  She is meticulous in her work and has a strong sense of ethical responsibility in providing the highest level of service to clients and her fellow co-workers.  She enjoys working directly with clients both on a professional and a personal level.

Education

Kathy is FINRA registered with LPL Financial and holds: General Securities License 7, Uniform Securities State Law License 63, Uniform Investment Advisor License 65 as well as her California Insurance License.  Kathy is also a California Notary Public.  She holds the Professional Plan Consultant designation from Financial Service Standards, LLC.

CA Insurance Lic. #0F79880

Interest

Outside of work, Kathy enjoys traveling, photography and spending time with her husband Arturo and their two Boston Terriers, Rocky & Reina.  She loves working with her dogs in agility training and plans to get them certified as hospital and retirement home therapy dogs.  As well, she is a Certified Personal Trainer through the National Association of Sports Nutrition.

 

Securities offered through LPL Financial, Member FINRA/SIPC. Investment Advice offered through Retirement Benefits Group™, a Registered Investment Advisor and separate entity from LPL Financial. Financial Advisors are also registered representatives with, and securities are offered through LPL Financial, Member FINRA/SIPC. Retirement Benefits Group is a registered trademark of Retirement Benefits Group, LLC. All rights reserved.

The LPL Financial registered representative associated with this site may only discuss and/or transact securities business with residents of the following states: AK, AL, AR, AZ, CA, CO, CT, FL, GA, HI, IA, ID, IL, KS, KY, LA, MA, MD, MI, MN, MO, MS, MT, NC, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, TN, TX, UT, VA, WA, WI