Kathy G. Stanley

SENTRY CONSULTING

CHARLOTTE, NC

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CRD#: 1454395

Professional summary

Kathy Goodwin Stanley, CFP®, who also goes by Kathy Goodwin Pelz, is a registered financial advisor currently at SENTRY CONSULTING, INC. located in Charlotte, North Carolina.

Kathy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Kathy has worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathy Goodwin Pelz

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.

1. INVESTMENT ADVISORY REPRESENTATIVE WITH SENTRY CONSULTING, INC. PROVIDING ADVISORY SALES AND SERVICE. SPEND 160 HOURS/MONTH, WITH >95% OF ALL TRADING HOURS SPENT ON THIS ACTIVITY. LOCATED AT OFFICE OF EMPLOYMENT ADDRESS. INVESTMENT RELATED ACTIVITY. BEGUN IN 1996. 2. NORTH CAROLINA LIFE ACCIDENT AND HEALTH LICENSE, LICENSED IN 1993 WITH LONG TERM CARE SUPPLEMENTAL LICENSE. COMMISSIONS PAID DIRECTLY TO KATHY STANLEY. DEVOTE 3 HOURS PER MONTH, PLUS CONTINUING EDUCATION REQUIREMENTS. LICENSE USED TO EFFICIENTLY DISCUSS INSURANCE-RELATED ISSUES WITH INDIVIDUALS. 3. NORTH CAROLINA REAL ESTATE LICENSE, LICENSED IN 1996, STATUS IS ACTIVE, BROKER IN CHARGE, ANY COMMISSIONS PAID DIRECTLY TO KATHY STANLEY, DEVOTE 3 HOURS PER MONTH PLUS CONTINUING EDUCATION REQUIREMENTS. LICENSE IS USED TO EFFICIENTLY DISCUSS REAL ESTATE MATTERS WITH INDIVIDUALS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathy Goodwin Stanley's 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®

CFP^®

Certified Financial Planner

Experience

Current

December 31, 2001 - Present

SENTRY CONSULTING, INC.

RIA

CRD#: 117190

CHARLOTTE, NC

Past

September 25, 1998 - September 26, 2013

CAPITAL INVESTMENT GROUP, INC.

CRD#: 14752

CHARLOTTE, NC

Past

June 9, 1997 - September 25, 1998

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

May 5, 1995 - August 24, 1995

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

April 30, 1993 - May 5, 1995

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

January 22, 1986 - April 1, 1986

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

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

North Carolina
(12/31/2001)

IAR

South Carolina
(6/24/2024)

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: 7/5/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/13/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/29/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SENTRY CONSULTING, INC.

CRD#: 117190 / SEC#:

North Carolina

Registered Investment Advisory firm - (12/31/2000 Approved)

South Carolina

Registered Investment Advisory firm - (6/24/2024 Approved)

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Contact information

Main Address

Charlotte, NC

Mailing Address

Phone number

(704) 641-2191

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	79
AUM (Assets Under Management)	$ 25,709,406

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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Firm Stability Insights

Kathy G. Stanley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathy Goodwin Stanley's CRS (Customer Relationship Summary).

Certified licenses

Experience

SENTRY CONSULTING, INC.

CAPITAL INVESTMENT GROUP, INC.

1717 CAPITAL MANAGEMENT COMPANY

INVEST FINANCIAL CORPORATION

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BANC OF AMERICA INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/5/1996

Series 63

Date: 5/14/1993

Series 7

Date: 6/13/1994

Series 6

Date: 4/29/1993

Current Firm

SENTRY CONSULTING, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SENTRY CONSULTING, INC.

TRUST BUT VERIFY

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