Kathryn S. Smith
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.
Kathryn Strate Smith, CFP®, who also goes by Kathryn Mary Strate, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1986. Kathryn had worked at 3 firms and has passed the Series 66, Series 63 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
Start date: 2009
Experience
July 20, 2005 - January 3, 2023
WISE PLANNING, INC.
March 11, 1988 - July 26, 1989
WINGSPAN INVESTMENT SERVICES
May 21, 1986 - April 30, 1987
FBS BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
WISE PLANNING, INC.
CRD#: 123821 / SEC#: 801-114999
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
WISE PLANNING, INC.
CRD#: 123821 / SEC#: 801-114999
Contact information
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 768 |
| AUM (Assets Under Management) | $ 529,377,526 |
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.
