Kathy D. Guerin

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CRD#: 1249786

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.

Kathy Dawson Guerin, who also goes by Kathy Louise Dawson, Kathy Dawson, Kathy Dawsonmirras, Kathy Louise Mirras, was a registered financial professional .

Kathy is a previously registered financial professional and started their career in finance in 1984. Kathy had worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathy Louise Dawson | Kathy Dawson | Kathy Dawsonmirras | Kathy Louise Mirras

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®

None

Experience

Past

September 28, 2006 - July 15, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Lansdale, PA

Past

November 24, 2004 - September 8, 2021

ENVISION WEALTH ADVISORS, LLC

RIA

CRD#: 132320

Lansdale, PA

Past

September 7, 1989 - February 18, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 16, 1987 - September 13, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

April 28, 1986 - April 27, 1987

FSC SECURITIES CORPORATION

CRD#: 7461

Past

April 24, 1984 - May 13, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

April 24, 1984 - May 14, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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

Series 63

Date: 5/2/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/9/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/23/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/24/1996

General Securities Principal Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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

Kathy D. Guerin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ENVISION WEALTH ADVISORS, LLC

LPL FINANCIAL LLC

INTEGRATED RESOURCES EQUITY CORPORATION

FSC SECURITIES CORPORATION

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/2/1984

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1986

Series 22

Date: 7/9/1984

Series 6

Date: 4/23/1984

Series 24

Date: 9/24/1996

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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