Katherine A. Kline
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 Ann Kline was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1990. Katherine had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2015 - January 6, 2021
"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"
January 3, 2011 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
March 21, 2003 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
October 15, 1993 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
May 24, 1990 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"
CRD#: 160657 / SEC#: 801-110370
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
"TATE ASSET MANAGEMENT" AND "DCO WEALTH MANAGEMENT"
CRD#: 160657 / SEC#: 801-110370
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 624 |
| AUM (Assets Under Management) | $ 322,995,213 |
Red Flags
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