Kathy S. Williams

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CRD#: 1721091

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.

Kathy Strain Williams, CFP®, who also goes by Mary Kathleen Strain, Kathy S Williams, was a registered financial professional .

Kathy is a previously registered financial professional and started their career in finance in 1987. Kathy had worked at 5 firms and has passed the Series 63, Series 7, Series 8, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mary Kathleen Strain | Kathy S Williams

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 25, 2016 - December 22, 2025

WADDELL & ASSOCIATES, LLC

RIA

CRD#: 283723

Memphis, TN

Past

December 2, 2003 - May 25, 2016

WADDELL & ASSOCIATES INC

RIA

CRD#: 105746

MEMPHIS, TN

Past

November 8, 1989 - March 17, 1992

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 4, 1988 - September 20, 1989

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

CRD#: 16493

Past

September 24, 1987 - December 31, 1987

BRENNER STEED, INC.

CRD#: 7103

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WADDELL & ASSOCIATES, LLC

CRD#: 283723 / SEC#: 801-107784

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 10/13/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 8/22/1991

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 12/16/1987

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/29/1987

Financial and Operations Principal Examination

Current Firm

WADDELL & ASSOCIATES, LLC

CRD#: 283723 / SEC#: 801-107784

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

5188 Wheelis Drive, Memphis, TN 38117

Mailing Address

Phone number

(901) 767-9187

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WADDELL ASSOCIATES LLC ADV PART 2A OCT 2025 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	2,791
AUM (Assets Under Management)	$ 1,701,742,264

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Kathy S. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WADDELL & ASSOCIATES INC

CHARLES SCHWAB & CO., INC.

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

BRENNER STEED, INC.

Primary Firm SEC Registration

WADDELL & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/13/1987

Series 7

Date: 9/19/1987

Series 8

Date: 8/22/1991

Series 24

Date: 12/16/1987

Series 27

Date: 9/29/1987

Current Firm

WADDELL & ASSOCIATES, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WADDELL & ASSOCIATES, LLC

TRUST BUT VERIFY

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