KJ
Kathleen A. Johnson
JACOBI CAPITAL MANAGEMENT
Berwyn, PA 19312
Some features on this profile are disabled
CRD#: 1966517
KJ
Professional summary
Kathleen A Johnson, who also goes by Kathleen A Harder, Kathleen A Hibbs, is a registered financial advisor currently at JACOBI CAPITAL MANAGEMENT, LLC located in Berwyn, Pennsylvania and LPL FINANCIAL LLC located in Berwyn, Pennsylvania.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Kathleen has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen A Harder | Kathleen A Hibbs
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.
1. 09/16/2022 - Jacobi Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business location(s) 2. 09/16/2022 - Jacobi Capital Managment LLC - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - 160 hours per month/ 6 hours during trading - provide investment advisory services through Jacobi Capital Management, an independent investment advisor firm. I started this business activity in 8/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 09/16/2022 - Jacobi Wealth Advisors - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - 160 hours per month/ 6 hours during trading - I provide investment advisory services through Jacobi Capital Management, an independent investment advisor firm. I started this business activity in 8/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 01/27/2023 - Financial Security Analysts, LLC - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date - 09/15/2022 5. 1/27/2023 - Kathleen A Johnson - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 09/15/2022 - 2 Hours Per Month/5 Hours During Securities Trading - Time Spent 3%
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen A Johnson'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®
NoneExperience
Current
September 19, 2022 - Present
JACOBI CAPITAL MANAGEMENT, LLC
Office #1: 1055 Westlakes Drive Suite 130, Berwyn, PA 19312RIA
CRD#: 147663
Berwyn, PA
Current
September 16, 2022 - Present
LPL FINANCIAL LLC
Office #1: 1055 Westlakes Dr Ste 135, Berwyn, PA 19312-2424RIA
BD
CRD#: 6413
Berwyn, PA
Past
March 25, 2017 - September 26, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
NEWTOWN SQUARE, PA
Past
March 25, 2017 - September 26, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
NEWTOWN SQUARE, PA
Past
October 26, 2012 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
NEWTOWN SQUARE, PA
Past
October 12, 2012 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
NEWTOWN SQUARE, PA
Past
June 23, 2008 - October 10, 2012
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
RYDAL, PA
Past
June 23, 2008 - October 10, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
RYDAL, PA
Past
May 17, 2007 - June 26, 2008
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
RYDAL, PA
Past
November 11, 2002 - June 26, 2008
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
RYDAL, PA
Past
July 26, 1989 - November 20, 2002
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
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".
JC
JACOBI CAPITAL MANAGEMENT, LLC
JACOBI CAPITAL MANAGEMENT, LLC | JACOBI WEALTH ADVISORS
CRD#: 147663 / SEC#: 801-69398
RIA
Registered Investment Advisory firm - (8/7/2008 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
Delaware(9/16/2022)
RR
Florida(9/16/2022)
RR
Maine(9/16/2022)
RR
Maryland(9/16/2022)
RR
Massachusetts(9/16/2022)
RR
New Jersey(9/16/2022)
RR
New York(9/16/2022)
RR
North Carolina(5/22/2023)
RR
Pennsylvania(9/16/2022)
IAR
Pennsylvania(9/19/2022)
RR
South Carolina(9/16/2022)
RR
Virginia(9/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JC
JACOBI CAPITAL MANAGEMENT, LLC
JACOBI CAPITAL MANAGEMENT, LLC | JACOBI WEALTH ADVISORS
CRD#: 147663 / SEC#: 801-69398
RIA
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Contact information
Main Address
154 Enterprise Way, Pittston, PA 18640
Mailing Address
Phone number
(570) 826-1801
Established
Firm type
Fiscal year end
# of Employees
28
SEC notice filing (26 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,314 |
| AUM (Assets Under Management) | $ 2,190,387,155 |
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.
