Kathleen J. Confer

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CRD#: 2037301

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 Jean Confer, CFP®, who also goes by Kay J Confer, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 1990. Kathleen had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kay J Confer

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.

Sunset Coast Property Mgt Position: Owner Nature: Property Management: Rental Unit Investment Related: No Hours: 5 Securities Trading Hours: 0 Start Date: 01/01/1999 Address: 1406 Lake Blvd, Saint Joseph MI 49085, United States

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

Start date: 1994

Experience

Past

June 25, 2021 - December 31, 2022

ASPIREAN WEALTH, LLC

RIA

CRD#: 173138

Saint Joseph, MI

Past

November 8, 2018 - June 1, 2021

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SAINT JOSEPH, MI

Past

November 8, 2018 - June 1, 2021

SECURITIES AMERICA, INC.

CRD#: 10205

SAINT JOSEPH, MI

Past

March 19, 2010 - November 20, 2018

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

ST. JOSEPH, MI

Past

September 27, 2002 - November 20, 2018

QUESTAR CAPITAL CORPORATION

CRD#: 43100

ST. JOSEPH, MI

Past

August 9, 1994 - October 11, 2002

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MADISON, WI

Past

July 6, 1994 - July 28, 1994

HARBOUR INVESTMENTS, INC.

CRD#: 19258

Past

April 1, 1991 - July 12, 1994

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

March 14, 1991 - April 1, 1991

PW SECURITIES, INC.

CRD#: 6775

Past

August 6, 1990 - March 16, 1991

DREHER & ASSOCIATES, INC.

CRD#: 8665

OAKBROOK TERRACE, IL

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".

ASPIREAN WEALTH, LLC

ASPIREAN WEALTH, LLC | GRACE FINANCIAL ASSOCIATES, LLC

CRD#: 173138 / SEC#: 801-121642

RIA

Registered Investment Advisory firm - (6/25/2021 Approved)

California

Registered Investment Advisory firm - (9/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2021 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

Series 63

Date: 5/4/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/3/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/30/1995

General Securities Principal Examination

Current Firm

ASPIREAN WEALTH, LLC

ASPIREAN WEALTH, LLC | GRACE FINANCIAL ASSOCIATES, LLC

CRD#: 173138 / SEC#: 801-121642

RIA

Registered Investment Advisory firm - (6/25/2021 Approved)

California

Registered Investment Advisory firm - (9/12/2021 Terminated)

Texas

Registered Investment Advisory firm - (8/13/2021 Terminated)

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Contact information

Main Address

6 Knoll Lane Suite B, Mill Valley, CA 94941

Mailing Address

Phone number

(844) 687-5342

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	447
AUM (Assets Under Management)	$ 194,802,079

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 J. Confer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

HARBOUR INVESTMENTS, INC.

HARBOUR INVESTMENTS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

PW SECURITIES, INC.

DREHER & ASSOCIATES, INC.

Primary Firm SEC Registration

ASPIREAN WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/1990

SIE

Date: 10/1/2018

Series 7

Date: 8/3/1990

Series 24

Date: 11/30/1995

Current Firm

ASPIREAN WEALTH, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASPIREAN WEALTH, LLC

TRUST BUT VERIFY

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