Kathleen R. Hansen
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.
Kathleen Reams Hansen, CFP®, who also goes by Kathleen Maria Hansen, Kathleen Reams Hansen, K M Mastro, Kathleen Maria Reams, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1985. Kathleen had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 2018 - December 26, 2023
LPL FINANCIAL LLC
July 31, 2018 - December 26, 2023
LPL FINANCIAL LLC
November 1, 2017 - August 24, 2018
CETERA WEALTH SERVICES, LLC
October 26, 2009 - August 14, 2014
GIRARD SECURITIES, INC.
October 22, 2009 - November 1, 2017
GIRARD SECURITIES, INC.
February 8, 2008 - June 27, 2014
NEWCASTLE FINANCIAL ADVISORS
October 31, 2005 - November 27, 2006
OSAIC SERVICES, INC.
October 31, 2005 - October 23, 2009
OSAIC SERVICES, INC.
February 22, 2001 - October 31, 2005
SENTRA SECURITIES CORPORATION
July 8, 1997 - April 1, 2009
INVESTLINC WEALTH SERVICES
July 8, 1997 - March 4, 2026
FINANCIAL PLANNING DEPT., INC.
November 15, 1995 - October 31, 2005
SENTRA SECURITIES CORPORATION
June 1, 1988 - November 17, 1995
HORNOR, TOWNSEND & KENT, LLC
March 10, 1988 - April 4, 1988
PIM FINANCIAL SERVICES, INC.
October 15, 1986 - April 13, 1988
GRANITE CAPITAL
May 21, 1985 - April 17, 1986
RONSON SECURITIES CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
