Kathy A. Alves
Professional summary
Kathy Ann Alves, CFP®, who also goes by Kate Therrien, Kathy Ann Therrien, is a registered financial advisor currently at BARRY INVESTMENT ADVISORS, LLC located in New Bedford, Massachusetts.
Kathy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Kathy has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathy Ann Alves's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2000
Experience
November 27, 2007 - Present
BARRY INVESTMENT ADVISORS, LLC
Office #1: 128 Union Street Suite 507, New Bedford, MA 02740September 3, 1999 - December 3, 2007
A. G. EDWARDS & SONS, INC.
March 15, 1993 - September 10, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 1991 - June 3, 1992
IDS LIFE INSURANCE COMPANY
November 4, 1991 - June 3, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
BARRY INVESTMENT ADVISORS, LLC
CRD#: 144955 / SEC#: 801-68447
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/27/2007)
Exams
Current Firm
BARRY INVESTMENT ADVISORS, LLC
CRD#: 144955 / SEC#: 801-68447
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,496 |
| AUM (Assets Under Management) | $ 712,576,826 |
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.
Company Information
BARRY INVESTMENT ADVISORS, LLC
CRD#: 144955New Bedford, MA 02740TRUST BUT VERIFY
Monitor Kathy Alves
Get automatic monthly alerts on:
