Katherine B. Starks
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.
Katherine Brown Starks, who also goes by Katherine Lynn Brown, Katherine Lynn Brown Starks, Katherine Lynn Wolfert, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1988. Katherine had worked at 6 firms and has passed the Series 63, SIE, Series 31 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
November 15, 2012 - November 15, 2023
LEGACY FINANCIAL ADVISORS, INC.
August 31, 2011 - September 22, 2022
TRIAD ADVISORS LLC
August 5, 2005 - September 20, 2011
KESTRA INVESTMENT SERVICES, LLC
September 17, 2002 - August 9, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 17, 2002 - August 9, 2005
OSAIC FA, INC.
September 20, 1988 - April 23, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
LEGACY FINANCIAL ADVISORS, INC.
CRD#: 158675 / SEC#: 801-72637
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
LEGACY FINANCIAL ADVISORS, INC.
CRD#: 158675 / SEC#: 801-72637
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,515 |
| AUM (Assets Under Management) | $ 1,255,617,352 |
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.
