Kerrie A. Doughty-lloyd

INDEX FUND ADVISORS

Irvine, CA 92612-6566

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CRD#: 1128795

Professional summary

Kerrie A Doughty-lloyd, who also goes by Kerrie A Allen, Kerrie Ann Allen, Kerrie Ann Doughty, Kerrie A Doughty, Kerrie Ann Doughty-lloyd, Kerrie A Lloyd, Kerrie A. St.amant, is a registered financial advisor currently at INDEX FUND ADVISORS, INC. located in Irvine, California.

Kerrie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Kerrie has worked at 12 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, SIE and Series 7 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.

Integrative Solution Services LLC, established in 2013 (formerly Integrative Solution Services est. 9/2000), is a non investment related business. This business is a collaboration website and app (CollaborApp) for individuals searching for solutions for special needs family members. Time spent is about 5 hours a month maintaining the website and app and no hours are spent during market hours. Founder maintains a resources page that people can reference when seeking integrative solutions for loved ones with special needs. Life, Variable, Accident and Health insurance license #0N08518 that is maintained with the State of California Department of Insurance. The license was established 07/019 and, since the license is for life insurance and variable annuities, is investment related. No market hours are devoted to this activity and there are continuing education (CE) hours required to maintain the licenses.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerrie A Doughty-lloyd'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

April 13, 2023 - Present

INDEX FUND ADVISORS, INC.

Office #1: 19200 Von Karman Ave Suite 150, Irvine, CA 92612-6566

RIA

CRD#: 109143

Irvine, CA

Past

February 23, 2021 - April 12, 2023

PRUDENT INVESTORS

RIA

CRD#: 127284

LAKE FOREST, CA

Past

December 19, 2019 - February 18, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEWPORT BEACH, CA

Past

December 19, 2019 - February 18, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEWPORT BEACH, CA

Past

August 29, 2019 - September 13, 2019

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

IRVINE, CA

Past

August 29, 2019 - September 13, 2019

PRUCO SECURITIES, LLC.

CRD#: 5685

IRVINE, CA

Past

April 15, 2019 - August 27, 2019

KINGSWOOD CAPITAL PARTNERS, LLC

CRD#: 288898

Costa Mesa, CA

Past

December 6, 2000 - October 8, 2001

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

November 8, 1999 - September 12, 2000

AMERICAN CENTURY INVESTMENT SERVICES INC.

CRD#: 17437

KANSAS CITY, MO

Past

September 27, 1996 - June 23, 1999

WELLS FARGO SECURITIES INC.

CRD#: 17438

SAN FRANCISCO, CA

Past

June 13, 1994 - October 3, 1995

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

April 6, 1993 - December 14, 1993

NEWPORT SECURITIES CORPORATION

CRD#: 8250

TEMECULA, CA

Past

May 15, 1991 - July 10, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 2, 1989 - April 4, 1990

NEWPORT SECURITIES CORPORATION

CRD#: 8250

TEMECULA, CA

Past

June 19, 1987 - August 5, 1987

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

December 17, 1985 - July 29, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

INDEX FUND ADVISORS, INC.

CRD#: 109143 / SEC#: 801-57978

RIA

Registered Investment Advisory firm - (9/28/2000 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.

Highlighted states indicate IAR registrations

IAR

California
(4/13/2023)

IAR

Louisiana
(4/17/2023)

IAR

Texas
(4/13/2023)

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 65

Date: 3/18/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/30/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/17/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/30/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/11/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/14/1985

General Securities Representative Examination

Current Firm

INDEX FUND ADVISORS, INC.

CRD#: 109143 / SEC#: 801-57978

RIA

Registered Investment Advisory firm - (9/28/2000 Approved)

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Contact information

Main Address

19200 Von Karman Ave Suite 150, Irvine, CA 92612-6566

Mailing Address

Phone number

(949) 502-0050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

INDEX FUND ADVISORS FORM ADV PART 2A 10.08.2025 (10/8/2025)

Regulatory assets under management

Total Number of Accounts	7,146
AUM (Assets Under Management)	$ 5,329,171,931

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

Kerrie A. Doughty-lloyd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kerrie A Doughty-lloyd's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENT INVESTORS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

KINGSWOOD CAPITAL PARTNERS, LLC

BNY MELLON SECURITIES CORPORATION

AMERICAN CENTURY INVESTMENT SERVICES INC.

WELLS FARGO SECURITIES INC.

SANFORD C. BERNSTEIN & CO., INC.

NEWPORT SECURITIES CORPORATION

LEHMAN BROTHERS INC.

NEWPORT SECURITIES CORPORATION

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

INDEX FUND ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2024

Series 66

Date: 4/30/2019

Series 63

Date: 5/17/1991

Series 7TO

Date: 6/30/2022

SIE

Date: 3/11/2019

Series 7

Date: 12/14/1985

Current Firm

INDEX FUND ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEX FUND ADVISORS, INC.

TRUST BUT VERIFY

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