Kathleen K. Santos
Professional summary
Kathleen Kemp Santos, who also goes by Kathleen Susan Kemp, Kathy Kemp, Kathleen Kemp Santos, Kathleen Susan Santos, Susan Santos, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Foster City, California and FIDELITY BROKERAGE SERVICES LLC located in Burlingame, California.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Kathleen has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Kemp Santos's CRS (Customer Relationship Summary).
Certified licenses
Education
Oregon State University
Bachelor of Science (BS) - Finance
1983
Experience
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 1411 Chapin Avenue, Burlingame, CA 94010June 26, 2017 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1411 Chapin Avenue, Burlingame, CA 94010July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 30, 2017 - July 13, 2018
STRATEGIC ADVISERS LLC
May 9, 2016 - May 17, 2017
ALT FUND DISTRIBUTORS LLC
July 11, 2012 - February 27, 2015
PROVASI CAPITAL PARTNERS LP
May 31, 2002 - June 26, 2012
SECURITIES AMERICA, INC.
November 12, 1993 - June 26, 2000
CNL SECURITIES CORP.
October 28, 1992 - June 10, 1993
TOUCHSTONE SECURITIES, INC.
December 24, 1987 - September 29, 1992
TECHNOLOGY FUNDING SECURITIES CORPORATION
January 9, 1987 - November 30, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
August 3, 1984 - January 19, 1987
PLANVEST CAPITAL CORPORATION
April 18, 1984 - August 14, 1984
EQUITEC SECURITIES COMPANY
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/25/2023)
(1/3/2020)
(6/26/2017)
(3/31/2025)
(5/6/2022)
(1/3/2020)
(1/3/2020)
(10/8/2021)
(3/10/2023)
(3/25/2023)
(10/8/2021)
(5/20/2023)
(1/3/2025)
(1/3/2025)
(8/13/2021)
(1/6/2020)
(9/29/2023)
(10/8/2021)
(1/3/2020)
(1/3/2020)
(9/29/2023)
(7/8/2022)
(1/3/2020)
(3/31/2025)
(1/3/2020)
(1/3/2020)
Exams
FINRA
New York Stock Exchange
Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Foster City, CATRUST BUT VERIFY
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