KB
Katherine A. Behrens
Some features on this profile are disabled
CRD#: 1195645
KB
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.
Katherine Ann Behrens, who also goes by Katherine Ann Marcus Behrens, Katie Ann Behrens, Katie Behrens, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1983. Katherine had worked at 17 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katherine Ann Marcus Behrens | Katie Ann Behrens | Katie Behrens
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.
Independent Agent, sales and service of fixed insurance products. OUTSIDE INSURANCE CONTRACTS
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®
NoneExperience
Past
May 12, 2022 - March 6, 2025
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
May 12, 2022 - March 6, 2025
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
April 12, 2021 - May 12, 2022
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
NEW YORK, NY
Past
July 6, 2020 - May 12, 2022
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
NEW YORK, NY
Past
March 25, 2017 - April 21, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
August 17, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEW YORK, NY
Past
January 28, 2016 - July 20, 2016
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
Manasquan, NJ
Past
January 28, 2016 - July 20, 2016
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
Manasquan, NJ
Past
July 24, 2014 - June 19, 2015
EQUITY SERVICES, INC.
RIA
CRD#: 265
NEW YORK, NY
Past
July 21, 2014 - June 19, 2015
EQUITY SERVICES, INC.
BD
CRD#: 265
NEW YORK, NY
Past
September 9, 2010 - July 23, 2014
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
August 20, 2009 - July 23, 2014
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
March 11, 2009 - August 19, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEW YORK, NY
Past
December 1, 2004 - February 6, 2009
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
July 28, 2004 - November 19, 2004
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
NEW YORK, NY
Past
December 11, 2003 - November 19, 2004
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
January 21, 2003 - December 10, 2003
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
March 10, 2000 - January 15, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
October 28, 1998 - March 10, 2000
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
CONSHOHOCKEN, PA
Past
July 23, 1997 - October 27, 1998
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
June 24, 1996 - July 23, 1997
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
September 3, 1992 - May 31, 1996
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
NEW YORK, NY
Past
November 13, 1985 - August 12, 1992
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
July 9, 1984 - November 23, 1985
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
December 21, 1983 - May 22, 1984
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
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".
EQUITABLE ADVISORS, LLC
"BUILD IT" RETIREMENT | EXPECT FINANCIAL SERVICES | EXODUS WEALTH MANAGEMENT GROUP (EXODUS WMG) | EXECUTIVE BENEFITS FINANCIAL GROUP | EVOLVING WEALTH FINANCIAL | EVOLUTION ADVISORS | EVERGREEN WEALTH STRATEGIES, LLC | ESSENTIAL WEALTH STRATEGIES, LLC | ESHELMAN FINANCIAL | ESHELMAN & ASSOCIATES | EQUITY WEALTH SOLUTIONS GROUP | EQUITABLE FINANCIAL ADVISORS | EQUITABLE ADVISORS, LLC | EQUINOX FINANCIAL PARTNERS, LLC | EQUICO SECURITIES, INC. | EQ FINANCIAL CONSULTANTS, INC. | ENVISION STRATEGIC FINANCIAL, LLC | ENTERPRISE STRATEGIES GROUP | EMPOWERMENT WEALTH STRATEGIES | EMPIRE WEALTH SOLUTIONS LLC | EMERGY GROUP | ELEVATE FINANCIAL GROUP | EDUCATED WEALTH STRATEGIES | ECP DESIGN & SERVICE GROUP, LTD | EAGLEBRIDGE WEALTH MANAGEMENT | EAGLE POINT WEALTH STRATEGIES | DVM FINANCIAL STRATEGIES | DUNCAN WEALTH MANAGEMENT | DRISCOLL WEALTH MANAGEMENT LLC | DREAM RETIREMENT STRATEGIES, INC | DRAKE, DRAKE AND ASSOCIATES | DOWNS FISCHER FINANCIAL | DIVORCE FINANCIAL PARTNERS | DILIGENCE FINANCIAL GROUP | DIAPOULES, FEINSTEIN AND KAPLAN FINANCIAL GROUP | DERGALIS ASSOCIATES | DENOVO MEDICAL ASSOCIATES | DENOVO ADVISORY GROUP | DEAN J. ROSKO AND ASSOCIATES | DAYTON & SYDNEY WEALTH STRATEGIES GROUP, LLC | DAVID SCHMIDT PENSION, INSURANCE & FINANCIAL SERVICES | DANIEL M. HOLDT, INC. | DAILEY FINANCIAL GROUP | DABYN WEALTH STRATEGIES | D3 FINANCIAL SERVICES | CYPRESS FINANCIAL CONSULTANTS, LLC | CUBE FINANCIAL PARTNERS, LLC | CS PREMIER FINANCIAL | CROWNSTONE WEALTH PARTNERS | CRIST AND FREDETTE FINANCIAL | COWIE MCGRAW & LESNEY FINANCIAL GROUP | COVENANT CAPITAL GROUP | COVENANT ADVISORY GROUP | COVE FINANCIAL, LLC | COUNTRY VALUES FINANCIAL | COSENTINO FINANCIAL GROUP, LTD | CORPORATE PLANNING ASSOCIATES, LLC | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE PLANNING GROUP, LLC | CORNERSTONE FINANCIAL, LLP | CORNERSTONE FINANCIAL SERVICES | COMPREHENSIVE FINANCIAL STRATEGIES | COMMUNITY FINANCIAL GROUP | COASTAL WEALTH MANAGEMENT AND INSURANCE SERVICES | CMG BENEFIT ADVISORS | CLERGY PLANNING GROUP | CLARK & ANDERSON FINANCIAL SERVICES, LLC | CJ CAPITAL INSURANCE AND FINANCIAL SERVICES | CITY BENEFITS GROUP | CHRISTE FINANCIAL SERVICES | CENTURY FINANCIAL STRATEGIES | CEDAR AND SAGE FINANCIAL | CBG WEALTH MANAGEMENT | CASCADE WEALTH STRATEGIES, LLC | CAPITALWISE WEALTH MANAGEMENT, LLC | CAPITAL STRATEGIES | CAPITAL MANAGEMENT GROUP OF NEW YORK | CAPITAL FINANCIAL GROUP | CANOPY FINANCIAL GROUP | CAMPUS WEALTH MANAGEMENT | BRIGHT HARBOR WEALTH MANAGEMENT LLC | BREMS WEALTH MANAGEMENT | BOWMAN WEALTH DEFENSE SERVICES | BOSCH FINANCIAL, INC. | BOLLINGER ADVISORS | BODDY & ASSOCIATES | BMK WEALTH MANAGEMENT LLC | BLUEWATER WEALTH STRATEGIES | BLUEPRINT FINANCIAL SOLUTIONS | BLUE RIDGE FINANCIAL PARTNERS | BLUE RIBBON WEALTH ADVISORS, INC | BLUE COVE CAPITAL | BLU-STAR STRATEGIC ADVISORS | BL FINANCIAL GROUP | BEST FINANCIAL SERVICES | BERNIER FINANCIAL SERVICES | BELUS WEALTH, LLC | BEEBE FINANCIAL SOLTIONS | BEACON WEALTH PARTNERS | BAY AREA PRIVATE WEALTH GROUP | BARRETT FINANCIAL SOLUTIONS | BALA FINANCIAL STRATEGIES | BABCOCK WEALTH MANAGEMENT | B&P RETIREMENT SOLUTIONS | AYOUCH AND MANTLE FINANCIAL GROUP | AXA ADVISORS, LLC | AXA ADVISORS, LLC | AVON FINANCIAL GROUP | ATTORNEYS CAPITAL MANAGEMENT | ATLAS FINANCIAL GROUP | ATLAS ADVISOR GROUP | AT ASPEN LLC | ASTON CAPITAL GROUP | ASPIRE FINANCIAL GROUP | ASCENT FINANCIAL GROUP | ASCENDANCY FINANCIAL GROUP | ASCEND PLANNING & CONSULTING, LLC | ARDEN FINANCIAL GROUP | ARC WEALTH MANAGEMENT | ARB WEALTH MANAGEMENT | APOLLO GROUP | ANTHEM WEALTH, LLC | ANGLE-LAU WEALTH MANAGEMENT | ANDERSON FINANCIAL | ANASTASIA & ASSOCIATES WEALTH MANAGEMENT SOLUTIONS | ALPHA PHOENIX | ALPHA OMEGA FINANCIAL, LLC | ALLISON FINANCIAL GROUP, INC. | ALLAM FINANCIAL SERVICES GROUP, INC. | AETERNUM CAPITAL | ADVANCED WEALTH STRATEGIES | ADVANCED BENEFIT DESIGN GROUP, INC. | ACHENBACH FINANCIAL | A.P. LUBRANO & COMPANY, INC. | A VERRELLI AND ASSOCIATES | 75 STRONG FINANCIAL GROUP | 4U FINANCIAL | 422 FINANCIAL | 360 PLANNING PARTNERS, LLC | 360 FINANCIAL MANAGEMENT GROUP | 345 WEALTH MANAGEMENT LLC | 1804 FINANCIAL GROUP | #LADYLIFEPLAN#...
CRD#: 6627 / SEC#: 801-14065, 8-17883
RIA
Registered Investment Advisory firm - SEC (9/22/1978 Approved)BD
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
EQUITABLE ADVISORS, LLC
"BUILD IT" RETIREMENT | EXPECT FINANCIAL SERVICES | EXODUS WEALTH MANAGEMENT GROUP (EXODUS WMG) | EXECUTIVE BENEFITS FINANCIAL GROUP | EVOLVING WEALTH FINANCIAL | EVOLUTION ADVISORS | EVERGREEN WEALTH STRATEGIES, LLC | ESSENTIAL WEALTH STRATEGIES, LLC | ESHELMAN FINANCIAL | ESHELMAN & ASSOCIATES | EQUITY WEALTH SOLUTIONS GROUP | EQUITABLE FINANCIAL ADVISORS | EQUITABLE ADVISORS, LLC | EQUINOX FINANCIAL PARTNERS, LLC | EQUICO SECURITIES, INC. | EQ FINANCIAL CONSULTANTS, INC. | ENVISION STRATEGIC FINANCIAL, LLC | ENTERPRISE STRATEGIES GROUP | EMPOWERMENT WEALTH STRATEGIES | EMPIRE WEALTH SOLUTIONS LLC | EMERGY GROUP | ELEVATE FINANCIAL GROUP | EDUCATED WEALTH STRATEGIES | ECP DESIGN & SERVICE GROUP, LTD | EAGLEBRIDGE WEALTH MANAGEMENT | EAGLE POINT WEALTH STRATEGIES | DVM FINANCIAL STRATEGIES | DUNCAN WEALTH MANAGEMENT | DRISCOLL WEALTH MANAGEMENT LLC | DREAM RETIREMENT STRATEGIES, INC | DRAKE, DRAKE AND ASSOCIATES | DOWNS FISCHER FINANCIAL | DIVORCE FINANCIAL PARTNERS | DILIGENCE FINANCIAL GROUP | DIAPOULES, FEINSTEIN AND KAPLAN FINANCIAL GROUP | DERGALIS ASSOCIATES | DENOVO MEDICAL ASSOCIATES | DENOVO ADVISORY GROUP | DEAN J. ROSKO AND ASSOCIATES | DAYTON & SYDNEY WEALTH STRATEGIES GROUP, LLC | DAVID SCHMIDT PENSION, INSURANCE & FINANCIAL SERVICES | DANIEL M. HOLDT, INC. | DAILEY FINANCIAL GROUP | DABYN WEALTH STRATEGIES | D3 FINANCIAL SERVICES | CYPRESS FINANCIAL CONSULTANTS, LLC | CUBE FINANCIAL PARTNERS, LLC | CS PREMIER FINANCIAL | CROWNSTONE WEALTH PARTNERS | CRIST AND FREDETTE FINANCIAL | COWIE MCGRAW & LESNEY FINANCIAL GROUP | COVENANT CAPITAL GROUP | COVENANT ADVISORY GROUP | COVE FINANCIAL, LLC | COUNTRY VALUES FINANCIAL | COSENTINO FINANCIAL GROUP, LTD | CORPORATE PLANNING ASSOCIATES, LLC | CORNERSTONE WEALTH MANAGEMENT | CORNERSTONE PLANNING GROUP, LLC | CORNERSTONE FINANCIAL, LLP | CORNERSTONE FINANCIAL SERVICES | COMPREHENSIVE FINANCIAL STRATEGIES | COMMUNITY FINANCIAL GROUP | COASTAL WEALTH MANAGEMENT AND INSURANCE SERVICES | CMG BENEFIT ADVISORS | CLERGY PLANNING GROUP | CLARK & ANDERSON FINANCIAL SERVICES, LLC | CJ CAPITAL INSURANCE AND FINANCIAL SERVICES | CITY BENEFITS GROUP | CHRISTE FINANCIAL SERVICES | CENTURY FINANCIAL STRATEGIES | CEDAR AND SAGE FINANCIAL | CBG WEALTH MANAGEMENT | CASCADE WEALTH STRATEGIES, LLC | CAPITALWISE WEALTH MANAGEMENT, LLC | CAPITAL STRATEGIES | CAPITAL MANAGEMENT GROUP OF NEW YORK | CAPITAL FINANCIAL GROUP | CANOPY FINANCIAL GROUP | CAMPUS WEALTH MANAGEMENT | BRIGHT HARBOR WEALTH MANAGEMENT LLC | BREMS WEALTH MANAGEMENT | BOWMAN WEALTH DEFENSE SERVICES | BOSCH FINANCIAL, INC. | BOLLINGER ADVISORS | BODDY & ASSOCIATES | BMK WEALTH MANAGEMENT LLC | BLUEWATER WEALTH STRATEGIES | BLUEPRINT FINANCIAL SOLUTIONS | BLUE RIDGE FINANCIAL PARTNERS | BLUE RIBBON WEALTH ADVISORS, INC | BLUE COVE CAPITAL | BLU-STAR STRATEGIC ADVISORS | BL FINANCIAL GROUP | BEST FINANCIAL SERVICES | BERNIER FINANCIAL SERVICES | BELUS WEALTH, LLC | BEEBE FINANCIAL SOLTIONS | BEACON WEALTH PARTNERS | BAY AREA PRIVATE WEALTH GROUP | BARRETT FINANCIAL SOLUTIONS | BALA FINANCIAL STRATEGIES | BABCOCK WEALTH MANAGEMENT | B&P RETIREMENT SOLUTIONS | AYOUCH AND MANTLE FINANCIAL GROUP | AXA ADVISORS, LLC | AXA ADVISORS, LLC | AVON FINANCIAL GROUP | ATTORNEYS CAPITAL MANAGEMENT | ATLAS FINANCIAL GROUP | ATLAS ADVISOR GROUP | AT ASPEN LLC | ASTON CAPITAL GROUP | ASPIRE FINANCIAL GROUP | ASCENT FINANCIAL GROUP | ASCENDANCY FINANCIAL GROUP | ASCEND PLANNING & CONSULTING, LLC | ARDEN FINANCIAL GROUP | ARC WEALTH MANAGEMENT | ARB WEALTH MANAGEMENT | APOLLO GROUP | ANTHEM WEALTH, LLC | ANGLE-LAU WEALTH MANAGEMENT | ANDERSON FINANCIAL | ANASTASIA & ASSOCIATES WEALTH MANAGEMENT SOLUTIONS | ALPHA PHOENIX | ALPHA OMEGA FINANCIAL, LLC | ALLISON FINANCIAL GROUP, INC. | ALLAM FINANCIAL SERVICES GROUP, INC. | AETERNUM CAPITAL | ADVANCED WEALTH STRATEGIES | ADVANCED BENEFIT DESIGN GROUP, INC. | ACHENBACH FINANCIAL | A.P. LUBRANO & COMPANY, INC. | A VERRELLI AND ASSOCIATES | 75 STRONG FINANCIAL GROUP | 4U FINANCIAL | 422 FINANCIAL | 360 PLANNING PARTNERS, LLC | 360 FINANCIAL MANAGEMENT GROUP | 345 WEALTH MANAGEMENT LLC | 1804 FINANCIAL GROUP | #LADYLIFEPLAN#...
CRD#: 6627 / SEC#: 801-14065, 8-17883
RIA
Registered Investment Advisory firm - SEC (9/22/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
1345 Avenue Of The Americas, New York, NY 10105
Mailing Address
1345 Avenue Of The Americas 3rd Floor, New York, NY 10105
Phone number
(212) 314-4600
Established
Delaware since 07/19/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
5,876
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EQUITABLE DISTRIBUTION HOLDING CORPORATION | MEMBER | |
| BONADONNA, MARYJEAN ELIZABETH | CHIEF RISK OFFICER | 3199562 |
| BOYLAN, PATRICIA AGNES | CHIEF COMPLIANCE OFFICER | 3231492 |
| BROWNING, RALPH EDWARD II | CHIEF PRIVACY OFFICER | 6914526 |
| CANNON, CHRISTIAN JAMES | VICE PRESIDENT AND GENERAL COUNSEL | |
| JONES, GINA MARIE | VICE PRESIDENT AND FINANCIAL CRIME OFFICER | |
| KARR, DAVID WHITCOMB | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER | 1852445 |
| LANE, NICHOLAS BURRITT | DIRECTOR | 4994948 |
| MASSA, FRANK ANGELO JR | PRESIDENT/DIRECTOR | 2241858 |
| MELLIN, JAMES PATRICK | CHIEF SALES OFFICER | 1859557 |
| SCAPPATOR, CANDACE LYNN | CONTROLLER/FINOP/PRINCIPAL FINANCIAL OFFICER | 4697607 |
| SMITH, JANE LYNN | ASSISTANT VICE PRESIDENT | 2158938 |
| TIAN, QI NING | DIRECTOR | 6166914 |
| ZHANG, YUN | DIRECTOR | 7600833 |
| ZIMMERER, TRACY | VICE PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 4275481 |
Regulatory assets under management
| Total Number of Accounts | 89,151 |
| AUM (Assets Under Management) | $ 38,039,299,080 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 11 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/18/2024 | ||
| 01/16/2024 |
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.
