Kathleen A. Stapleton
Professional summary
Kathleen Ann Stapleton, CFP®, who also goes by Kathleen A Stapleton, is a registered financial advisor currently at CHOICE FINANCIAL & INSURANCE SERVICES, INC. located in Brea, California.
Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Kathleen has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Ann Stapleton's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1993
Experience
March 10, 2022 - Present
CHOICE FINANCIAL & INSURANCE SERVICES, INC.
Office #1: 633 S. Brea Blvd. #7, Brea, CA 92821September 12, 2016 - March 9, 2022
PLANMEMBER SECURITIES CORPORATION
September 12, 2016 - March 9, 2022
PLANMEMBER SECURITIES CORPORATION
January 14, 2005 - September 12, 2016
GWN SECURITIES INC.
January 14, 2005 - September 12, 2016
GWN SECURITIES INC.
October 14, 1997 - January 14, 2005
PMG SECURITIES CORPORATION
January 1, 1994 - October 9, 1997
LEGEND EQUITIES CORPORATION
May 30, 1990 - January 1, 1994
LEGEND CAPITAL CORPORATION
April 20, 1989 - May 1, 1990
CAPITAL BROKERAGE CORPORATION
June 18, 1986 - April 10, 1989
UR FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/10/2022)
Exams
Current Firm
CHOICE FINANCIAL & INSURANCE SERVICES, INC.
CRD#: 312049 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 56 |
| AUM (Assets Under Management) | $ 6,185,276 |
Red Flags
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