KF
Kathleen Fish
KESTRA ADVISORY SERVICES
MEMPHIS, TN
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CRD#: 1826151
KF
Professional summary
Kathleen Fish, CFP®, ChFC®, CLU®, who also goes by Kathleen Marie Cullen, Kathleen Jackson Fish, Kathleen Marie Jackson, Kathy Marie Jackson, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Memphis, Tennessee and KESTRA INVESTMENT SERVICES, LLC located in Memphis, Tennessee.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kathleen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Marie Cullen | Kathleen Jackson Fish | Kathleen Marie Jackson | Kathy Marie Jackson
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.
Busi Nm: Kathy Fish Investment Related: No Address: 1509 Peabody Memphis TN 38104 Nature of Business: Other Other/None of the Above teach yoga at Cooper St yoga Title: teacher Start Date: 2/4/2019 Hrs/mth: 0-16 Duties: teach one class per week and sub Busi Nm: Playback Memphis Investment Related: No Address: 1000 S. Cooper St. Memphis TN 38104 Nature of Business: Board Position Title: Board Member Start Date: 8/25/2016 Hrs/mth: 0-16 Duties: Attend 75% of board meetings, serve on one committee, introduce people to Playback Memphis, meet with actors, meet with other board members, expand and diversify audiences Busi Nm: Kathy Fish Investment Related: No Address: 633 Oak Leaf Office Lane Memphis TN 38117 Nature of Business: Other Other/None of the Above teaching classes Title: CFP Start Date: 1/1/2017 Hrs/mth: 0-16 Duties: None , public service people need help , we offer a social security analysis if they pull their statement Busi Nm: Choices Investment Related: No Address: 1726 Poplar Avenue Memphis TN 38104 Nature of Business: Board Position Title: Board Member Start Date: 11/1/2017 Hrs/mth: 0-16 Duties: Attend board meetings, serve on finance committee, introduce people to Choices and their capital campaign efforts, meet with board members, expand awareness Busi Nm: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Title: Investment Advisor Representative Start Date: 4/4/2016 Hrs/mth: Up to 100% (0 to 160 hours) Hrs/mth during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Busi Nm: Kathy Fish Investment Related: No Address: 633 Oakleaf Office Lane Memphis TN 38117 Nature of Business: Consulting Title: Organizer, facilitator of discussions. Start Date: 1/3/2017 Hrs/mth: 0-16 Duties: Organizing, advertising, providing materials, facilitating discussions. Busi Nm: Kathy Fish, Kathleen Fish Investment Related: No Address: 5942 Cottonwood Drive Ypsilanti MI 48197 Nature of Business: Consulting Title: Process Consultant Start Date: 10/31/2016 Hrs/mth: 0-16 Duties: Consultant consulting on business management processes, workflow processes, workflow management, and process structure on phone calls. Busi Nm: Fish and Associates Investment Related: Yes Address: 699 Oakleaf Office Lane Suite 105 Memphis TN 38117 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through Kestra Advisory Services, LLC; Other Other/None of the Above none Title: Producer and agent Start Date: 5/2/1990 Hrs/mth: 100%+ (More than 160 hours) Hrs/mth during trading hours: 81% - 90% (113 - 126 hours) Duties: sell life, LTC and some Health, securities and financial planning Busi Nm: Fish Investments LLC Investment Related: Yes Address: 0 Oakleaf Office Lane Memphis TN 38117 Nature of Business: Real Estate; Other Other/None of the Above Fish & Associates Title: Owner Start Date: 4/11/2008 Hrs/mth: 0-16 Duties: pay the mortgage when building is complete. Busi Nm: PLAYHOUSE ON THE SQUARE BOARD MEMBER POSITION: board member NATURE: Board position (Board of Directors, Board of Trustees, etc.) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/22/2024 ADDRESS: 66 S Cooper St, Memphis TN 38104 DESCRIPTION: Act as a board member providing governance adn oversight, serve on finance committee
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Fish'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®
Start date: 1997
Experience
Current
April 25, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #2: 633 Oakleaf Office Lane, Memphis, TN 38117RIA
CRD#: 283330
MEMPHIS, TN
Current
December 1, 2003 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 633 Oakleaf Office Lane, Memphis, TN 38117BD
CRD#: 42046
Memphis, TN
Past
January 7, 2004 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
MEMPHIS, TN
Past
June 22, 1990 - December 1, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/21/2005)
RR
Alaska(10/25/2021)
RR
Arkansas(12/1/2003)
RR
California(12/1/2003)
RR
Colorado(1/3/2005)
RR
Connecticut(4/11/2023)
RR
District of Columbia(10/23/2023)
RR
Florida(12/1/2003)
RR
Georgia(12/1/2003)
RR
Illinois(7/30/2008)
RR
Indiana(11/1/2024)
RR
Maine(8/2/2021)
RR
Massachusetts(4/28/2021)
RR
Michigan(12/1/2003)
RR
Minnesota(1/8/2019)
RR
Mississippi(12/1/2003)
RR
New Mexico(8/21/2015)
RR
New York(12/1/2003)
RR
Ohio(3/25/2022)
RR
Pennsylvania(10/23/2023)
RR
South Carolina(8/24/2005)
RR
Tennessee(12/1/2003)
IAR
Tennessee(4/25/2016)
RR
Texas(12/1/2003)
IAR
Texas(7/27/2023)
RR
Washington(11/6/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
