Katherine B. Flores

SOVRAN ADVISORS

Costa Mesa, CA 92626

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CRD#: 1064168

Professional summary

Katherine Burke Flores, who also goes by Katherine F Burke, Katherine Florence Burke, Katherine Burke, Katherine F Flores, Katherine Florence Flores, Katherine Florence Fontenrose, is a registered financial advisor currently at SOVRAN ADVISORS, LLC located in Costa Mesa, California and CETERA INVESTMENT ADVISERS LLC located in Costa Mesa, California.

Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Katherine has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

1. NAME OF OTHER BUSINESS: SOVRAN ADVISORS LLC - CRD 329415 INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISOR REPRESENTATIVE START DATE: 02/2024 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT 2. NAME OF OTHER BUSINESS: KATHY FLORES WEALTH MANAGEMENT INC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: A SUB-S CORPORATION TO RECEIVE INCOME, FILE TAX RETURNS, PAY TAXES AND MAKE RETIREMENT PLAN CONTRIBUTIONS START DATE: 11/2005 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: RECEIVES MY 1099 COMPENSATION; 3. NAME OF OTHER BUSINESS: DIRECT PATH FINANCIAL PLANNING INVESTMENTS INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL ADVICE AND SOLUTIONS FOR OUR CLIENTS START DATE: 12/2021 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: INVESTMENTS, FINANCIAL PLANNING;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Burke Flores's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 22, 2024 - Present

SOVRAN ADVISORS, LLC

Office #1: 3200 Park Center Dr. Suite 1240, Costa Mesa, CA 92626

RIA

CRD#: 329415

Costa Mesa, CA

Current

February 22, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 3200 Park Center Dr Ste 1240, Costa Mesa, CA 92626

RIA

CRD#: 105644

COSTA MESA, CA

Current

February 22, 2024 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 3200 Park Center Dr Ste 1240, Costa Mesa, CA 92626

CRD#: 13572

Costa Mesa, CA

Past

March 25, 2017 - March 5, 2024

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Costa Mesa, CA

Past

March 25, 2017 - March 5, 2024

MML INVESTORS SERVICES, LLC

CRD#: 10409

Costa Mesa, CA

Past

June 8, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

IRVINE, CA

Past

June 8, 2015 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

IRVINE, CA

Past

November 14, 2005 - June 10, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

MISSION VIEJO, CA

Past

November 11, 2005 - June 10, 2015

LPL FINANCIAL LLC

CRD#: 6413

MISSION VIEJO, CA

Past

July 8, 1997 - November 17, 2005

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

IRVINE, CA

Past

December 2, 1992 - November 17, 2005

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

December 4, 1990 - December 14, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 13, 1984 - December 11, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 25, 1983 - June 7, 1984

WZW FINANCIAL SERVICES, INC.

CRD#: 5717

Past

November 9, 1982 - August 30, 1983

PRUCO SECURITIES, LLC.

CRD#: 5685

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/7/2024)

California
(2/22/2024)

IAR

California
(2/22/2024)

Colorado
(2/23/2024)

Florida
(2/23/2024)

Hawaii
(2/23/2024)

Idaho
(2/23/2024)

Nevada
(2/23/2024)

North Carolina
(3/7/2024)

Pennsylvania
(2/23/2024)

South Carolina
(2/29/2024)

IAR

Texas
(2/22/2024)

Texas
(2/23/2024)

Utah
(2/22/2024)

Washington
(3/6/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/26/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/1984

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: 6/29/2006

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/8/1982

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2006

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Katherine B. Flores

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Burke Flores's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

LEHMAN BROTHERS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WZW FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/26/1992

Series 63

Date: 6/13/1984

SIE

Date: 10/1/2018

Series 31

Date: 6/29/2006

Series 7

Date: 8/20/1983

Series 6

Date: 11/8/1982

Series 24

Date: 3/8/2006

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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