Kathy K. Stewart

KURTIN FINANCIAL ADVISERS

Dallas, TX

Some features on this profile are disabled

CRD#: 1361044

Professional summary

Kathy Kurtin Stewart, who also goes by Kathy Jo Kurtin, Kathy Kurtin, is a registered financial advisor currently at KURTIN FINANCIAL ADVISERS, LLC located in Dallas, Texas.

Kathy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Kathy has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Jo Kurtin | Kathy Kurtin

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) - RIA

Click below to view Kathy Kurtin Stewart's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 26, 2018 - Present

KURTIN FINANCIAL ADVISERS, LLC

RIA

CRD#: 115418

Dallas, TX

Past

February 2, 2006 - December 31, 2017

KURTIN FINANCIAL ADVISERS, LLC

RIA

CRD#: 115418

DALLAS, TX

Past

September 7, 2000 - January 14, 2005

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

May 31, 1994 - June 26, 1995

NORTHERN TRUST SECURITIES, INC.

CRD#: 7927

CHICAGO, IL

Past

April 23, 1985 - December 11, 1987

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

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".

KURTIN FINANCIAL ADVISERS, LLC

KURTIN FINANCIAL ADVISERS, INC | KURTIN FINANCIAL ADVISERS, LLC | KURTIN FINANCIAL ADVISERS, INC.

CRD#: 115418 / SEC#: 801-123750

RIA

Registered Investment Advisory firm - (4/19/2022 Approved)

Texas

Registered Investment Advisory firm - (4/20/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(3/26/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/2/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/6/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/18/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KURTIN FINANCIAL ADVISERS, LLC

KURTIN FINANCIAL ADVISERS, INC | KURTIN FINANCIAL ADVISERS, LLC | KURTIN FINANCIAL ADVISERS, INC.

CRD#: 115418 / SEC#: 801-123750

RIA

Registered Investment Advisory firm - (4/19/2022 Approved)

Texas

Registered Investment Advisory firm - (4/20/2022 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Dallas, TX

Mailing Address

Phone number

(214) 891-0399

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2024 KFA LLC ADV PART II (3/20/2025)

Regulatory assets under management

Total Number of Accounts	24
AUM (Assets Under Management)	$ 122,310,336

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathy K. Stewart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathy Kurtin Stewart's CRS (Customer Relationship Summary).

Certified licenses

Experience

KURTIN FINANCIAL ADVISERS, LLC

NORTHERN TRUST SECURITIES, INC.

NORTHERN TRUST SECURITIES, INC.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

KURTIN FINANCIAL ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2006

Series 63

Date: 5/26/1994

Series 7

Date: 9/6/2000

Series 6

Date: 5/18/1994

Current Firm

KURTIN FINANCIAL ADVISERS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KURTIN FINANCIAL ADVISERS, LLC

TRUST BUT VERIFY

Similar Advisors