CC
Catherine L. Chatfield
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CRD#: 1036468
CC
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.
Catherine Lear Chatfield, AIF®, who also goes by Ann Catherine Chatfield, Ann Lear Chatfield, Catherine Lean Chatfield, Catherine Lear Chatfield, Catherine Chatfield, Ann Catherine Lear, was a registered financial professional .
Catherine is a previously registered financial professional and started their career in finance in 1982. Catherine had worked at 4 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ann Catherine Chatfield | Ann Lear Chatfield | Catherine Lean Chatfield | Catherine Lear Chatfield | Catherine Chatfield | Ann Catherine Lear
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.
Busi Name: Catherine Chatfield Investment Related: No Address: 108 Shady Lane Lexington KY 40503 Nature of Business: Insurance Position, Title or Relationship: sole proprietor Start Date: 6/11/1981 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: referrals for health insurance, sale and servicing of life, health and annuity products, no registered products Busi Name: WINDSOR LLC POSITION: Own l/4 interest of this inherited property. Have been assigned to keep the books for 2021 and possibly beyond. NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 732 Lakeshore Drive, Lexington KY 40502, United States DESCRIPTION: Participate in family meetings if called. May obtain repairs for rental property. Busi Name: Green Sentinel, Inc. Investment Related: Yes Address: 732 Lakeshore Drive Lexington KY 40502 Nature of Business: Real Estate Position, Title or Relationship: shareholder and keep the books Start Date: 1/1/2007 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I participate in company meetings if called and have been assigned to keep the books Busi Name: East Third LLC Investment Related: Yes Address: 108 Shady Lane Lexington KY 40503 Nature of Business: Real Estate Position, Title or Relationship: Managing Member Start Date: 1/1/2008 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: I own this property. Realtors rent the properties. I work with tenants directly on 3 of the properties, accept rents, address maintenance issues, etc. The 4th is handled by a property manager. Busi Name: FSM Wealth, Inc. Investment Related: Yes Address: 9627 Wall Street Nashville IL 62263 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: will be a registerd rep Start Date: 2/1/2021 Hours per month: 61% - 70% (97 - 112 hours) Hours per month during trading hours: 61% - 70% (85 - 98 hours) Duties: registered rep Busi Name: GREEN SENTINEL, INC. POSITION: shareholder NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: 732 Lakeshore Drive, Lexington KY 40502 DESCRIPTION: I participate in company meetings if called Busi Name: KESTRA ADVISORY SERVICES LLC POSITION: IAR and registered representative NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/01/2021 ADDRESS: 5707 Southwest Parkway, Austin TX 78735 DESCRIPTION: Provide investment advisory services to Kestra registered clients
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®
Experience
Past
February 18, 2021 - March 25, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
Lexington, KY
Past
February 18, 2021 - March 25, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Lexington, KY
Past
November 22, 2010 - February 22, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
LEXINGTON, KY
Past
October 16, 1985 - February 22, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LEXINGTON, KY
Past
May 18, 1982 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 2682
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 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.
