Kathleen A. Totman

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CRD#: 1989826

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.

Kathleen Anne Totman, who also goes by Kathleen Anne Hunt, Kathleen Hunt, Kathleen Totman, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 1989. Kathleen had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathleen Anne Hunt | Kathleen Hunt | Kathleen Totman

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

May 24, 2016 - November 30, 2016

LINCOLN INVESTMENT

CRD#: 519

FAIRPORT, NY

Past

July 22, 2014 - June 2, 2016

MML INVESTORS SERVICES, LLC

CRD#: 10409

SYRACUSE, NY

Past

June 19, 2012 - July 10, 2014

LIFEMARK SECURITIES CORP.

CRD#: 16204

MARCELLUS, NY

Past

June 6, 2007 - June 12, 2012

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LIVERPOOL, NY

Past

August 8, 2006 - May 1, 2007

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

CICERO, NY

Past

November 4, 2005 - May 1, 2007

NATIONWIDE SECURITIES, LLC

CRD#: 11173

CICERO, NY

Past

February 28, 2005 - October 3, 2005

LEIGH BALDWIN & CO., LLC

CRD#: 38751

CAZENOVIA, NY

Past

June 6, 2003 - March 2, 2005

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

March 5, 2003 - May 20, 2003

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

February 22, 2002 - July 17, 2002

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

March 19, 2001 - March 13, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 19, 2001 - March 13, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 11, 2000 - March 2, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 14, 1999 - January 13, 2000

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

May 13, 1998 - May 14, 1999

KEY INVESTMENTS INC.

CRD#: 15873

CLEVELAND, OH

Past

June 24, 1997 - May 5, 1998

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

October 12, 1995 - June 20, 1997

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

October 15, 1991 - October 18, 1995

CADARET, GRANT & CO., INC.

CRD#: 10641

SYRACUSE, NY

Past

September 19, 1989 - October 11, 1991

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

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".

LINCOLN INVESTMENT

CRD#: 519 / SEC#: 801-14059, 8-14354

RIA

Registered Investment Advisory firm - SEC (9/11/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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: 4/6/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/2/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/4/1996

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/18/1989

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LINCOLN INVESTMENT

CRD#: 519 / SEC#: 801-14059, 8-14354

RIA

Registered Investment Advisory firm - SEC (9/11/1978 Approved)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232

Mailing Address

601 Office Center Drive Suite 150-mailroom, Fort Washington, PA 19034

Phone number

(215) 887-8111

Established

Pennsylvania since 08/01/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,293

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LINCOLN INVESTMENT PLANNING, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)

LINCOLN INVESTMENT PLANNING, LLC FORM ADV PART 2A BROCHURE (8/13/2025)

Direct owners and executive officers

Name	Position	CRD#
LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC	MEMBER/OWNER
ALEXANDER, DANIEL SEAN	EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER	4051341
BUETI, ANTHONY CHARLES	SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER	5876104
BURA, KAREN DOUGHERTY	VICE-PRESIDENT, CONTROLLER	1666006
ESTES, JASON CHRISTOPHER	EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER	7485210
FLAX, STEVEN NEIL	EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER	5655474
FORST, EDWARD SAMUEL JR	ELECTED MANAGER/CEO	708024
LECKEY, KATHLEEN KINSLOW	PRESIDENT, CHIEF OPERATING OFFICER	2447809
MATTSON, MAUREEN ANN	EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	5952728
MCCARTHY, DIANE MULHERRIN	EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER	4923328
MEHROTRA, SHASHI	SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER	2640875
OBERLIES, SUSAN MARY	SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY	3009149

Regulatory assets under management

Total Number of Accounts	201,292
AUM (Assets Under Management)	$ 18,904,482,714

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
09/27/2023	Cover Page	Report
03/29/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Kathleen A. Totman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

LIFEMARK SECURITIES CORP.

ALLSTATE FINANCIAL SERVICES, LLC

1717 CAPITAL MANAGEMENT COMPANY

NATIONWIDE SECURITIES, LLC

LEIGH BALDWIN & CO., LLC

NATIONWIDE SECURITIES, LLC

STATE FARM VP MANAGEMENT CORP.

KEYBANC CAPITAL MARKETS INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

PRUDENTIAL EQUITY GROUP, LLC

KEYBANC CAPITAL MARKETS INC.

KEY INVESTMENTS INC.

CHASE INVESTMENT SERVICES CORP.

CUNA BROKERAGE SERVICES, INC.

CADARET, GRANT & CO., INC.

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

LINCOLN INVESTMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 4/6/1998

Series 63

Date: 10/2/1989

SIE

Date: 11/30/2016

Series 7

Date: 9/4/1996

Series 6

Date: 9/18/1989

Current Firm

LINCOLN INVESTMENT

Contact information

SEC notice filing (49 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LINCOLN INVESTMENT

TRUST BUT VERIFY

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