Katrina M. Smith

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CRD#: 1084267

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.

Katrina Marie Smith, CFP®, who also goes by Katrina Marie Hunneyman, Katrina Marie Paine, Katrina Marie Paine-smith, was a registered financial professional .

Katrina is a previously registered financial professional and started their career in finance in 1988. Katrina had worked at 9 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Katrina Marie Hunneyman | Katrina Marie Paine | Katrina Marie Paine-Smith

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.

CO-OWNER OF SILVER PAW KENNEL, P.O. BOX 107, HEMLOCK, NY 14466 SINCE MARCH 2010. THIS IS A NON INVESTMENT RELATED BUSINESS. BREEDERS OF SILVER/CHOLOLATE LABS. ALL ACTIVITIES ARE OUTSIDE BUSINESS HOURS OF ABOUT 28 HOURS PER MONTH. DUTIES INCLUDE CO-BREEDING AND BOOKKEEPING.

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®

CFP^®

Certified Financial Planner

Start date: 2003

Experience

Past

November 16, 2007 - May 15, 2023

SAGE, RUTTY & CO., INC.

RIA

CRD#: 3254

ROCHESTER, NY

Past

January 26, 2001 - May 15, 2023

SAGE, RUTTY & CO., INC.

CRD#: 3254

ROCHESTER, NY

Past

February 16, 1999 - February 13, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

January 4, 1999 - February 26, 1999

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

February 13, 1998 - December 31, 1998

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

August 21, 1996 - February 19, 1998

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

February 1, 1995 - August 21, 1996

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

October 6, 1994 - February 1, 1995

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 20, 1990 - September 28, 1994

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

May 14, 1988 - March 12, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 22, 1988 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

SAGE, RUTTY & CO., INC.

SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.

CRD#: 3254 / SEC#: 801-35917, 8-533

RIA

Registered Investment Advisory firm - SEC (1/26/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

Series 63

Date: 1/11/1989

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: 12/30/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

Current Firm

SAGE, RUTTY & CO., INC.

SAGE RUTTY TRUST | SAGE, RUTTY & CO., INC.

CRD#: 3254 / SEC#: 801-35917, 8-533

RIA

Registered Investment Advisory firm - SEC (1/26/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

100 Corporate Woods Suite 300, Rochester, NY 14623

Mailing Address

100 Corporate Woods Suite 300, Rochester, NY 14623

Phone number

(585) 232-3760

Established

New York since 02/11/1937

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 08062025 (8/11/2025)

Direct owners and executive officers

Name	Position	CRD#
HOLLY, AUDREY WELLER	SHAREHOLDER
HOLLY, WAYNE FOSTER	EXECUTIVE CHAIRMAN, SHAREHOLDER, DIRECTOR	1019229
NUGENT, KIM LISBETH	SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER	4759283
PARKER, DOUGLAS EVANS III	DIRECTOR, SHAREHOLDER, FINANCIAL ADVISOR, SENIOR VICE PRESIDENT	1772713
HOLLY, TREVOR WILLIAM	PRESIDENT, CEO, SHAREHOLDER	6215542
BURKE, JAMES PAUL	SECRETARY, VICE PRESIDENT, SHAREHOLDER	2226672
CONWAY, CHELSEA LEIGH	DIRECTOR	7976777
DENNIS, CORINNE MARIE	CHIEF COMPLIANCE OFFICER	6454049
EHRLICH, CURT ALLEN	SENIOR VICE PRESIDENT, FINANCIAL ADVISOR, SHAREHOLDER	4659166
FALVEY, ROBERT JOHN	SHAREHOLDER (10/1996)	1926374
FROOD, LAURA SUZANNE	FINANCIAL ADVISOR, SHAREHOLDER	4211953
FROOD, NEIL STEWART III	FINANCIAL ADVISOR, DIRECTOR	4483525
HOLLY, CHRISTOPHER ROBERT	SHAREHOLDER	7993869
HOLLY, CONNOR B	FINANCIAL ADVISOR, SHAREHOLDER, FIRST VICE PRESIDENT	5887021
HOLLY, JARED FOSTER	SHAREHOLDER	7648569
HOLLY, JESSICA LAUREN	SHAREHOLDER	7656552
HOLLY, SEAN TYLER	SHAREHOLDER	7656542
HOLLY, SHANE ALEXANDER	SHAREHOLDER	7656553
LACEY, MATTHEW JAMES	CONTROLLER,TREASURER, FINOP, SHAREHOLDER	5299622
LOHWATER, ROBERT LAWRENCE	CORPORATE OFFICER	1232267
RALPH JOSEPH DANDREA	DIRECTOR
WEHNER, SANDRA JEAN	SHAREHOLDER	1472675

Regulatory assets under management

Total Number of Accounts	7,702
AUM (Assets Under Management)	$ 3,018,502,621

Disclosures

Regulatory Event	6
Arbitration	1

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/05/2025	Cover Page	Report
01/27/2025	Cover Page	Report
01/02/2024	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Katrina M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAGE, RUTTY & CO., INC.

LPL FINANCIAL LLC

ESSEX NATIONAL SECURITIES, LLC

ESSEX NATIONAL SECURITIES, LLC

CHASE INVESTMENT SERVICES CORP.

FISERV INVESTOR SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

A. G. EDWARDS & SONS, INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

SAGE, RUTTY & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/11/1989

SIE

Date: 10/1/2018

Series 31

Date: 12/30/2005

Series 7

Date: 3/19/1988

Current Firm

SAGE, RUTTY & CO., INC.

Contact information

SEC notice filing (11 States and Territories)

FINRA licenses (46 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

SAGE, RUTTY & CO., INC.

TRUST BUT VERIFY

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