KB
Kathi D. Boratko
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CRD#: 1034060
KB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathi Delacy Boratko, who also goes by Kathi Delacy Arman, was a registered financial professional .
Kathi is a previously registered financial professional and started their career in finance in 1982. Kathi had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathi Delacy Arman
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 22, 2018 - May 30, 2019
TRIAD ADVISORS LLC
BD
CRD#: 25803
Farmington, CT
Past
April 22, 2016 - October 31, 2018
RETIREONE INVESTMENT SERVICES, LLC
BD
CRD#: 269923
FARMINGTON, CT
Past
November 17, 2014 - April 22, 2016
SANDERS MORRIS LLC
BD
CRD#: 20580
FARMINGTON, CT
Past
August 12, 2014 - September 17, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
WEST HARFORD, CT
Past
November 16, 1989 - April 28, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
March 25, 1982 - November 8, 1988
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TA
TRIAD ADVISORS LLC
ABLE FINANCIAL SERVICES | SOUTH FLORIDA WEALTH MANAGEMENT, LLC | SOBRINSKI FINANCIAL SERVICES, LLC | SINCLAIR FINANCIAL GROUP | SIKICH FINANCIAL, LLC (NAPERVILLE) | SHIRAZI BENEFITS | SCHULER INVESTMENT SERVICES | SANDSTONE ADVISOR | SANDEFUR & ASSOCIATES, LLC | ROSE FINANCIAL GROUP | ROMAN, BUTLER, FULLERTON & CO. | ROBERT W MILLER FINANCIAL SERVICES | RIVERTAN FINANCIAL GROUP | RICHARDSON INVESTMENT ADVISORY, LLC | RETIREMENT PLANNING ADVISORS, INC. | RETIREMENT BENEFITS GROUP | RETIREMENT ASSET MANAGEMENT | REGENT FINANCIAL WEALTH MANAGEMENT | R.B. GOLD & ASSOCIATES | PYRAMID FINANCIAL GROUP | PROXIMITY FINANCIAL PARTNERS | PROFESSIONAL ASSOCIATES WEALTH COACHING, INC. | POLARIS FINANCIAL SERVICES GROUP | PINKERTON BROKERAGE LLC | PEARSON AND CO. | PAYNE FINANCIAL SERVICES, INC. | PATHWAY WEALTH SOLUTIONS LLC | PARRY FINANCIAL | PARABLE FINANCIAL NETWORK (WAYCROSS) | PARABLE FINANCIAL NETWORK | OVERMAN CAPITAL MANAGEMENT | OPULENTMINDS, LLC | OPTIMUM FINANCIAL, LLC | ONE DIGITAL | OMNIHARBOR ASSET MANAGEMENT | OAK WEALTH MANAGEMENT | NOFFSINGER FINANCIAL GROUP | NIAGARA FINANCIAL ADVISORS, INC. | NEW HOPE FINANCIAL SERVICES | NET EQUITY CONCEPTS, INC. | NATHAN STIBBS | N/A | MICHAEL A. HERRON, CFP | MC_ WEALTH SOLUTIONS | MCDONALD WEALTH MANAGEMENT | MC2 WEALTH SOLUTIONS | MC WEALTH SOLUTIONS | MC ASSOCIATES | MATTHEW B BROZIK PRIVATE WEALTH MANAGEMENT | MATT PORTER FINANCIAL | MANIET FINANCIAL SERVICES NETWORK | MAKEFIELD ASSET MANAGEMENT, INC | MAKEFIELD ASSET MANAGEMENT INC. | LOCUST LANE PARTNERS | LIPMAN RICHARDSON, LLC | LEWIS WEALTH MANAGEMENT | LARSEN WEALTH MANAGEMENT | KZ WEALTH MANAGEMENT | KRINER FINANCIAL SERVICES GROUP | KNOXVILLE FINANCIAL SERVICES | KAPLAN FINANCIAL GROUP | JONTHOMAS MONEY MANAGEMENT | JOHN F. WILSON INVESTMENTS | JASON P. FLURRY, CFP | JACK KENDELL, CLU, CHFC, MBA | INVESTMENT DESIGNERS, INC. | INGLESIDE FINANCIAL ADVISORS, LLC | INCOMPASS FINANCIAL PARTNERS (MARIETTA) | INCOMPASS FINANCIAL PARTNERS | IMB SECURITIES, INC. | IMB INC. | HOBBS GROUP ADVISORS, LLC | HINES CAPITAL | HENDERSON HUTCHERSON & MCCULLOUGH CAPITAL ADVISORS | HELBIG FINANCIAL SERVICES | HEBCO INC. | HAWKINS & BOUKATHER, LLC | GREGG S LENTZ AND ASSOCIATES FINANCIAL PLANNING AND WEALTH MANAGEMENT | GIDWANI CAPITAL LLC | GENFINANCE, LLC | GCG FINANCIAL, LLC | GALLAGHER BENEFIT SERVICES | FUNDAMENTAL WEALTH ADVISORS, LLC | FULL CIRCLE WEALTH, LLC | FULL CIRCLE WEALTH LLC | FRICK INVESTMENT GROUP | FREEDOM FINANCIAL CONSULTANTS | FORESIGHT FINANCIAL PARTNERS | FOCUSED WEALTH, LLC | FINANCIAL STRATEGIES OF LAKE NORMAN | FINANCIAL RESOURCES, INC. | FINANCIA ADVISORS | FERRIN CAPITAL ADVISORS | EXECUTIVE FINANCIAL RESOURCES | EXCLUSIVE FINANCIAL RESOURCES, LLC | EXCLUSIVE ADVISORS LLC | EXCALIBUR FINANCIAL SERVICES | ESTATE & FINANCIAL SERVICES, INC. | ERSTAD FINANCIAL LLC | EMERY FINANCIAL GROUP | EMERALD WEALTH MANAGEMENT, LLC | E. PHILLIP POWELL, CPA | E. PHILLIP POWELL | E. F. WISE PLANNING, LLC | DUNHAM & DEITEL WEALTH MANAGEMENT | DOYLE INSURANCE | DAVID BORON | DAVID A HICKS, LTD. | D2 INVESTMENTS | CURTIN FINANCIAL SERVICES | CREATIVE CAPITAL WEALTH MANAGEMENT GROUP | CRA FINANCIAL SERVICE, LLC | CORNERSTONE FINANCIAL STRATEGIES | CONSOLIDATED PLANNING GROUP, INC | COMPASS WEALTH SERVICES | COMPASS FINANCIAL PARTNERS | COBBLESTONE WEALTH ADVISORS | CMA FINANCIAL SERVICES | CHRYSALIS CAPITAL MANAGEMENT | CHAU FINANCIAL GROUP, INC. | CD INTEGRITY FINANCIAL | CAPSTONE | CAPITAL ASSET MANAGEMENT COUNSELORS | CANTERBURY WEALTH ADVISORS, LLC | BUCCI FINANCIAL SERVICES | BRYBECK FINANCIAL | BROWN ADVISORY GROUP, LLC (CRANSTON) | BROWN ADVISORY GROUP, LLC | BRICKLER ASSET MANAGEMENT, INC. | BREWER FINANCIAL SERVICES, LLC | BRAESIDE INVESTMENT CORPORATION | BOWMAN & ASSOCIATES | BALANCED FINANCIAL PRINCIPLES | BALANCE FINANCIAL SOLUTIONS, LLC | ASSET MANAGEMENT ADVISORS, INC. | ASSET MANAGEMENT & PROTECTION | ASSET ADVISORS GROUP, LLC | ASCENT FINANCIAL | ARGENTUM CAPITAL MANAGEMENT | ARCHER INVESTMENT MANAGEMENT | APEX WEALTH MANAGEMENT, LLC | AMFED INVESTMENT SERVICES, LLC | AMERICAN FINANCIAL MANAGEMENT | AMA CAPITAL MANAGEMENT | ALERA GROUP | AIM ADVISORS...
CRD#: 25803 / SEC#: 801-55518, 8-42007
BD
Terminated by SEC on 10/25/2024
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Contact information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
(800) 720-4003
Established
Florida since 12/31/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
2,530
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | MEMBER | |
| CHAFFEE, HAROLD GERARD | VP, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| ROSENTHAL, JEFFREY LIN | CEO/PRESIDENT AND DIRECTOR | 2474795 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 4,228 |
| AUM (Assets Under Management) | $ 1,106,198,778 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 | ||
| 12/21/2022 |
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.
