Kathryn M. Blackburn

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CRD#: 1036272

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.

Kathryn Mary Blackburn, CIMA®, who also goes by Kathryn Mary Corbet, Kathy Corbet, Kathryn Mary Weber, was a registered financial professional .

Kathryn is a previously registered financial professional and started their career in finance in 2001. Kathryn had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathryn Mary Corbet | Kathy Corbet | Kathryn Mary Weber

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.

Blog Corner

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®

CIMA^®

Certified Investment Management Analyst

Experience

Past

March 19, 2012 - December 21, 2023

FIRST TRUST ADVISORS LP

RIA

CRD#: 107027

WHEATON, IL

Past

March 19, 2012 - December 21, 2023

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

WHEATON, IL

Past

May 13, 2010 - March 28, 2012

MORGAN STANLEY

RIA

CRD#: 149777

OAK BROOK, IL

Past

May 5, 2010 - March 28, 2012

MORGAN STANLEY

CRD#: 149777

OAK BROOK, IL

Past

March 25, 2009 - December 11, 2009

SPIKE FINANCIAL SERVICES, LLC

CRD#: 112193

BARRINGTON, IL

Past

October 1, 2002 - January 12, 2009

CALAMOS FINANCIAL SERVICES LLC

CRD#: 19850

NAPERVILLE, IL

Past

February 28, 2001 - July 27, 2001

INVESTIN SECURITIES CORP.

CRD#: 39295

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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.

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

State Security Law Exam

IAR

Series 66

Date: 5/11/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 6/30/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/27/2001

General Securities Representative Examination

Current Firm

FIRST TRUST ADVISORS LP

CRD#: 107027 / SEC#: 801-39950

RIA

Registered Investment Advisory firm - (10/4/1991 Approved)

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Contact information

Main Address

120 E. Liberty Drive Suite 400, Wheaton, IL 60187

Mailing Address

Phone number

(630) 765-8000

Established

Firm type

Fiscal year end

# of Employees

520

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FTA FORM ADV PART 2A BROCHURE - 03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,033
AUM (Assets Under Management)	$ 256,328,000,000

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.

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Advisor Monitoring

Firm Stability Insights

Kathryn M. Blackburn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST TRUST PORTFOLIOS L.P.

MORGAN STANLEY

MORGAN STANLEY

SPIKE FINANCIAL SERVICES, LLC

CALAMOS FINANCIAL SERVICES LLC

INVESTIN SECURITIES CORP.

Primary Firm SEC Registration

FIRST TRUST ADVISORS LP

State Registrations and Notice Filings

Exams

Series 66

Date: 5/11/2010

Series 63

Date: 3/16/2001

SIE

Date: 10/1/2018

Series 31

Date: 6/30/2010

Series 7

Date: 2/27/2001

Current Firm

FIRST TRUST ADVISORS LP

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIRST TRUST ADVISORS LP

TRUST BUT VERIFY

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