Katherine F. Lapidoth

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CRD#: 1941579

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.

Katherine Farber Lapidoth, who also goes by Katherine Keenan Farber, Katherine Farber, Katherine Farber Lapidoth Mrs., Katherine Keenan Lapidoth, Katherine Lapidoth Mrs., was a registered financial advisor .

Katherine is a previously registered financial advisor and started their career in finance in 1989. Katherine had worked at 8 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Katherine Keenan Farber | Katherine Farber | Katherine Farber Lapidoth Mrs. | Katherine Keenan Lapidoth | Katherine Lapidoth Mrs.

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®

None

Experience

Past

July 25, 2014 - March 31, 2015

PIONEER FAMILY OFFICE, LLC

RIA

CRD#: 142856

AVENTURA, FL

Past

May 14, 2012 - December 20, 2013

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

AVENTURA, FL

Past

May 14, 2012 - December 20, 2013

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

AVENTURA, FL

Past

December 8, 2010 - February 9, 2012

MORGAN STANLEY

RIA

CRD#: 149777

AVENTURA, FL

Past

November 22, 2010 - February 9, 2012

MORGAN STANLEY

CRD#: 149777

AVENTURA, FL

Past

April 22, 1999 - January 7, 2004

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

October 20, 1997 - December 31, 1998

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

November 28, 1995 - August 5, 2003

INTEGRATED FINANCIAL PLANNING SERVICES

CRD#: 17935

HEIDELBERG,

Past

January 9, 1990 - December 31, 1993

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

Past

April 19, 1989 - June 19, 1989

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

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".

PIONEER FAMILY OFFICE, LLC

PIONEER FAMILY OFFICE, LLC | TRIPLE 5 WEALTH MANAGEMENT, LLC | TRIPLE 5 WEALTH MANAGEMENT | PIONEER WEALTH MANAGEMENT

CRD#: 142856 / SEC#: 801-116725

RIA

Registered Investment Advisory firm - (5/31/2019 Approved)

Florida

Registered Investment Advisory firm - (6/7/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

IAR

Series 65

Date: 7/25/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/1/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/21/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/8/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/18/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PIONEER FAMILY OFFICE, LLC

PIONEER FAMILY OFFICE, LLC | TRIPLE 5 WEALTH MANAGEMENT, LLC | TRIPLE 5 WEALTH MANAGEMENT | PIONEER WEALTH MANAGEMENT

CRD#: 142856 / SEC#: 801-116725

RIA

Registered Investment Advisory firm - (5/31/2019 Approved)

Florida

Registered Investment Advisory firm - (6/7/2019 Terminated)

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Contact information

Main Address

3323 Ne 163rd St. Suite 604, North Miami Beach, FL 33160

Mailing Address

Phone number

(305) 935-5502

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PIONEER FAMILY OFFICE BROCHURE (9/30/2025)

Regulatory assets under management

Total Number of Accounts	296
AUM (Assets Under Management)	$ 791,454,982

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

Katherine F. Lapidoth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

LASALLE ST SECURITIES, L.L.C.

THE LEADERS GROUP, INC.

INTEGRATED FINANCIAL PLANNING SERVICES

LINCOLN INVESTMENT

INVESTACORP, INC.

Primary Firm SEC Registration

PIONEER FAMILY OFFICE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/25/2014

Series 66

Date: 10/1/2010

Series 63

Date: 6/21/1990

Series 7

Date: 9/8/2010

Series 6

Date: 4/18/1989

Current Firm

PIONEER FAMILY OFFICE, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PIONEER FAMILY OFFICE, LLC

TRUST BUT VERIFY

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