Kathryn S. Vermeer
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.
Kathryn Svoboda Vermeer, CFP®, who also goes by Kathryn Jean Svoboda, Katy Svoboda, Kathryn Jean Vermeer, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1983. Kathryn had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2015 - March 22, 2024
CARLSON CAPITAL MANAGEMENT, LLC
October 27, 2015 - December 31, 2015
CARLSON CAPITAL MANAGEMENT
January 24, 2014 - October 28, 2015
PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.
March 23, 1992 - August 9, 1993
JOHN G. KINNARD AND COMPANY, INCORPORATED
November 23, 1983 - December 31, 1990
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CARLSON CAPITAL MANAGEMENT, LLC
CRD#: 281544 / SEC#: 801-106832
Contact information
Regulatory assets under management
| Total Number of Accounts | 8,551 |
| AUM (Assets Under Management) | $ 3,808,650,292 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 10/30/2023 |
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.
