KW
Kathleen M. White
ST. BERNARD FINANCIAL SERVICES
Pea Ridge, AR 72751
Some features on this profile are disabled
CRD#: 2337893
KW
Professional summary
Kathleen M White, who also goes by Kathleen Marie Patterson, Kathleen Marie Smith Ms, Kathleen Marie Souris, Kathi White, Kathleen Marie White, Kathleen Marie Wickline, is a registered financial advisor currently at ST. BERNARD FINANCIAL SERVICES, INC. located in Pea Ridge, Arkansas.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kathleen has worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Marie Patterson | Kathleen Marie Smith Ms | Kathleen Marie Souris | Kathi White | Kathleen Marie White | Kathleen Marie Wickline
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) MANZANITA INSURANCE AGENCY POSITION: Owner / Agent NATURE: Insurance Agency selling Health Insurance Medicare Supplement Plans, Medicare Advantage Plans, Prescription Drug Plans,Individual Health Insurance including working with Covered California, Dental and Vision insurance, Small Group Health Insurance Plans INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 4 START DATE: 06/20/2013 ADDRESS: 770 Paseo Camarillo, Suite 130, Camarillo CA 93010, United States DESCRIPTION: Meet with prospective clients and referrals to assess the best Health Insurance Plan for their situation. Explain the recommended product and enroll them. Manage any administrative issues during enrollment, follow-up as needed.
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen M White's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathleen M White's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2023 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 2619 Westbrook Loop, Pea Ridge, AR 72751RIA
BD
CRD#: 36956
Pea Ridge, AR
Current
January 3, 2023 - Present
ST. BERNARD FINANCIAL SERVICES, INC.
Office #1: 2619 Westbrook Loop, Pea Ridge, AR 72751RIA
BD
CRD#: 36956
Pea Ridge, AR
Past
June 30, 2016 - December 31, 2022
OSAIC SERVICES, INC.
RIA
CRD#: 133763
CAMARILLO, CA
Past
June 30, 2016 - December 31, 2022
OSAIC SERVICES, INC.
BD
CRD#: 133763
CAMARILLO, CA
Past
April 2, 2013 - July 26, 2016
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
Ventura, CA
Past
April 2, 2013 - July 26, 2016
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
Ventura, CA
Past
February 17, 2011 - June 18, 2012
CROWELL, WEEDON & CO.
RIA
CRD#: 193
VENTURA, CA
Past
February 15, 2011 - June 18, 2012
CROWELL, WEEDON & CO.
BD
CRD#: 193
VENTURA, CA
Past
September 10, 2009 - June 7, 2010
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
SIMI VALLEY, CA
Past
September 10, 2009 - June 7, 2010
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
SIMI VALLEY, CA
Past
May 15, 2009 - June 5, 2009
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
VENTURA, CA
Past
October 16, 2008 - June 5, 2009
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
VENTURA, CA
Past
April 11, 2005 - September 8, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
OXNARD, CA
Past
September 19, 2002 - September 8, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
OXNARD, CA
Past
July 11, 2001 - May 6, 2002
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
May 10, 2000 - June 15, 2001
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
June 17, 1998 - May 10, 2000
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
February 27, 1998 - May 18, 1998
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
February 11, 1997 - February 24, 1998
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
August 9, 1995 - February 6, 1997
AEGON USA SECURITIES INC.
BD
CRD#: 13302
CEDAR RAPIDS, IA
Past
October 18, 1994 - October 25, 1995
AFS BROKERAGE, INC.
BD
CRD#: 25924
AUSTIN, TX
Past
August 7, 1993 - April 15, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BD
CRD#: 14229
NORTHRIDGE, CA
Past
June 22, 1993 - July 29, 1993
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
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".
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/17/2023)
RR
Arkansas(1/5/2024)
IAR
Arkansas(1/17/2024)
RR
California(1/3/2023)
IAR
California(1/3/2023)
RR
Florida(6/3/2024)
RR
Missouri(1/17/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SB
ST. BERNARD FINANCIAL SERVICES, INC.
BANKS AND BROWN FINANCIAL ADVISORS | WARD FINANCIAL SERVICES | TURNER FINANCIAL | TULSATAXDEPOT.COM | ST. BERNARD FINANCIAL SERVICES, INC. | ST BERNARD FINANCIAL SERVICES, INC. | SOUTH TEXAS WEALTH | SCHERSHELWEALTH.COM | PULLEN FINANCIAL | MFCENTER.COM | KESSLER FINANCIAL | INTEGRATED FINANCIAL SOLUTIONS OF KANSAS CITY | BISHOP INSURANCE
CRD#: 36956 / SEC#: 801-113763, 8-47566
RIA
Registered Investment Advisory firm - SEC (7/31/2018 Approved)Arkansas
Registered Investment Advisory firm - SEC (11/1/2018 Terminated)Connecticut
Registered Investment Advisory firm - SEC (8/21/2018 Terminated)Florida
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Illinois
Registered Investment Advisory firm - SEC (7/31/2018 Terminated)Indiana
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Louisiana
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Minnesota
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Missouri
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)New York
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)North Carolina
Registered Investment Advisory firm - SEC (8/3/2018 Terminated)Oklahoma
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Texas
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Virginia
Registered Investment Advisory firm - SEC (8/2/2018 Terminated)Washington
Registered Investment Advisory firm - SEC (8/9/2018 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
1609 West Main St., Russellville, AR 72801
Mailing Address
1609 West Main St., Russellville, AR 72801
Phone number
(479) 967-1200
Established
Arkansas since 03/24/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
109
SEC notice filing (40 States and Territories)
FINRA licenses (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 841 |
| AUM (Assets Under Management) | $ 130,472,570 |
Disclosures
| Regulatory Event | 6 |
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
ST. BERNARD FINANCIAL SERVICES, INC.
CRD#: 36956Pea Ridge, AR 72751TRUST BUT VERIFY
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