Kate G. Gregory Walker

GREGORY ADVISORS

Huntington Beach, CA 92647

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CRD#: 2418671

Professional summary

Kate Gregory Gregory Walker, CFP®, who also goes by Kate Gregory, Katie Gregory, Mary Katherine Gregory, Kate Hammack, Katie Hammack, Kate Gregory Walker, is a registered financial advisor currently at GREGORY ADVISORS INC. located in Huntington Beach, California and RAI WEALTH MANAGEMENT located in Huntington Beach, California.

Kate is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kate has worked at 3 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

Mary Katherine Gregory; Not investment-related; 7755 Center Ave., Ste. 1100, Huntington Beach, CA 92647; Insurance Sales; Insurance Agent; Start date 10-15-2002; approx. 2 hours per month/0 hours during securities trading. Insurance sales to retail clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kate Gregory Gregory Walker's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

February 11, 2002 - Present

GREGORY ADVISORS INC.

Office #1: 7755 Center Avenue No. 1100, Huntington Beach, CA 92647

RIA

CRD#: 112537

Huntington Beach, CA

Current

October 30, 2020 - Present

RAI WEALTH MANAGEMENT

Office #1: 7755 Center Avenue Suite 1100, Huntington Beach, CA 92647

RIA

CRD#: 277137

Huntington Beach, CA

Past

July 25, 2000 - September 18, 2007

OSAIC WEALTH, INC.

CRD#: 23131

HUNTINGTON BEACH, CA

Past

December 15, 1993 - June 17, 1994

OSAIC WEALTH, INC.

CRD#: 23131

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".

RAI WEALTH MANAGEMENT

RAI WEALTH MANAGEMENT | RICHEY ADVISORS, INC.

CRD#: 277137 / SEC#: 801-131970

RIA

Registered Investment Advisory firm - (2/13/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/20/2025 Terminated)

California

Registered Investment Advisory firm - (3/22/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/21/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2025 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/11/2002)

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: 8/4/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/24/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/1/2000

General Securities Principal Examination

Current Firm

RAI WEALTH MANAGEMENT

RAI WEALTH MANAGEMENT | RICHEY ADVISORS, INC.

CRD#: 277137 / SEC#: 801-131970

RIA

Registered Investment Advisory firm - (2/13/2025 Approved)

Arizona

Registered Investment Advisory firm - (2/20/2025 Terminated)

California

Registered Investment Advisory firm - (3/22/2025 Terminated)

Colorado

Registered Investment Advisory firm - (2/21/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/4/2025 Terminated)

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Contact information

Main Address

151 N. Kraemer Blvd. Suite 105, Placentia, CA 92870

Mailing Address

Phone number

(714) 449-9696

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RAI WEALTH MANAGEMENT ADV 2A & 2B (6/27/2025)

Regulatory assets under management

Total Number of Accounts	493
AUM (Assets Under Management)	$ 135,905,953

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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Firm Stability Insights

Kate G. Gregory Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kate Gregory Gregory Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAI WEALTH MANAGEMENT

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

RAI WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 8/4/2000

Series 63

Date: 12/29/1993

Series 7

Date: 7/24/2000

Series 24

Date: 8/1/2000

Current Firm

RAI WEALTH MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RAI WEALTH MANAGEMENT

TRUST BUT VERIFY

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