Katherine S. Bowes

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CRD#: 2187576

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 Schmarsow Bowes, CFP®, who also goes by Katherine Bowes, was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 1997. Katherine had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Katherine Bowes

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.) INDEPENDENT INSURANCE AGENT; SAME LOCATION 2.) MRS. BOWES IS ALSO INVOLVED IN CODMAN SQUARE HEALTH CENTER; CHARITABLE ROLE; TITLE: BOARD MEMBER OF THE FINANCE COMMITTEE

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: 2019

Experience

Past

January 15, 2020 - June 4, 2024

CLARO ADVISORS INC.

RIA

CRD#: 160294

BOSTON, MA

Past

August 18, 2015 - December 11, 2019

OSAIC FA, INC.

RIA

CRD#: 3978

BOSTON, MA

Past

August 14, 2015 - December 11, 2019

OSAIC FA, INC.

CRD#: 3978

BOSTON, MA

Past

January 30, 2014 - December 8, 2014

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

MILTON, MA

Past

October 14, 2013 - January 6, 2014

NATIONAL PLANNING CORPORATION

CRD#: 29604

QUINCY, MA

Past

February 5, 1997 - December 31, 2001

MELLON FUNDS DISTRIBUTOR, L.P.

CRD#: 39414

BOSTON, MA

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".

CLARO ADVISORS INC.

CLARO ADVISORS INC. | LITCHFIELD FINANCIAL, LLC | CLARO ADVISORS, LLC | CLARO ADVISORS LLC

CRD#: 160294 / SEC#: 801-80372

RIA

Registered Investment Advisory firm - (10/8/2014 Approved)

Massachusetts

Registered Investment Advisory firm - (10/16/2014 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

IAR

Series 66

Date: 10/13/2014

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/10/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1994

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: 5/24/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/14/2013

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 3

Date: 10/11/1991

National Commodity Futures Examination

Current Firm

CLARO ADVISORS INC.

CLARO ADVISORS INC. | LITCHFIELD FINANCIAL, LLC | CLARO ADVISORS, LLC | CLARO ADVISORS LLC

CRD#: 160294 / SEC#: 801-80372

RIA

Registered Investment Advisory firm - (10/8/2014 Approved)

Massachusetts

Registered Investment Advisory firm - (10/16/2014 Terminated)

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Contact information

Main Address

100 High Street Suite 950, Boston, MA 02110

Mailing Address

Phone number

(800) 604-2838

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CLARO ADV PART 2A (10/31/2025)

Regulatory assets under management

Total Number of Accounts	3,371
AUM (Assets Under Management)	$ 1,283,968,973

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

Katherine S. Bowes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC FA, INC.

OSAIC FA, INC.

1ST GLOBAL CAPITAL CORP.

NATIONAL PLANNING CORPORATION

MELLON FUNDS DISTRIBUTOR, L.P.

Primary Firm SEC Registration

CLARO ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/13/2014

Series 65

Date: 10/10/1995

Series 63

Date: 12/15/1994

SIE

Date: 10/1/2018

Series 7

Date: 5/24/2014

Series 6

Date: 10/14/2013

Series 3

Date: 10/11/1991

Current Firm

CLARO ADVISORS INC.

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CLARO ADVISORS INC.

TRUST BUT VERIFY

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