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Kathleen Jade Kee

Kathleen J. Kee

Some features on this profile are disabled
CRD#: 1133926
Kathleen Jade Kee

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.

Kathleen Jade Kee, CFP®, who also goes by Kathy Kee, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 1983. Kathleen had worked at 7 firms and has passed the Series 63 and Series 7 exams.

Core Areas of Focus

Business Owners
Corporate Executives
Divorce Planning
Estate & Generational Planning Issues
High Net Worth Client Needs
Women's Financial Planning Issues

Question & Answer

What are your service offerings?
Retirement Planning
Tax Planning
Comprehensive Financial Planni...
Estate Planning
Business Succession Planning
Employee and Employer Plan Ben...
Investment Planning
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
No

Aliases

Kathy Kee

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®
CFP®

Certified Financial Planner

Start date: 1987

Experience

Past

July 1, 2024 - February 24, 2026

FOCUS PARTNERS WEALTH, LLC

RIA
CRD#: 159289
PORTLAND, OR
Past

December 23, 2020 - July 1, 2024

BUCKINGHAM STRATEGIC WEALTH, LLC

RIA
CRD#: 143323
PORTLAND, OR
Past

October 25, 2002 - December 23, 2020

CONFLUENCE WEALTH MANAGEMENT LLC

RIA
CRD#: 107810
PORTLAND, OR
Past

June 3, 1996 - November 5, 1999

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
SEATTLE, WA
Past

August 24, 1994 - January 27, 1995

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
SEATTLE, WA
Past

July 29, 1991 - September 11, 1992

U.S. BANCORP SECURITIES

BD
CRD#: 17439
PORTLAND, OR
Past

February 24, 1986 - April 17, 1991

KMS FINANCIAL SERVICES, INC.

BD
CRD#: 3866
SEATTLE, WA
Past

February 5, 1985 - February 27, 1986

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882
Past

June 18, 1983 - February 8, 1985

EQUITEC SECURITIES COMPANY

BD
CRD#: 6463

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".
FOCUS PARTNERS WEALTH, LLC
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH

CRD#: 159289 / SEC#: 801-72862

RIA
Registered Investment Advisory firm - (12/7/2011 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
RR
Series 63
Date: 6/6/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1983
General Securities Representative Examination

Current Firm

FOCUS PARTNERS WEALTH, LLC
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH

CRD#: 159289 / SEC#: 801-72862

RIA
Registered Investment Advisory firm - (12/7/2011 Approved)
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Contact information

Main Address
190 Carondelet Plaza Suite 600, St. Louis, MO 63105
Mailing Address
Phone number
(314) 725-0455
Established
Firm type
Fiscal year end
# of Employees
1,915

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/2/2026)
ADV PART 2A APPENDIX - WRAP BROCHURE (2/2/2026)

Regulatory assets under management

Total Number of Accounts220,585
AUM (Assets Under Management)$ 181,862,000,000

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2026
Cover Page
Report
12/20/2024
Cover Page
Report
07/26/2023
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.

Company Information

FOCUS PARTNERS WEALTH, LLC

FOCUS PARTNERS WEALTH, LLC

CRD#: 159289

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