Kathleen M. Williams-price

INDEPENDENT WEALTH NETWORK

Lubblock, TX 79424

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CRD#: 2450125

Professional summary

Kathleen Marie Williams-price, who also goes by Kathleen Marie Pitts, Kathy Pitts, Kathleen Marie Williams, Kathleen M Williams-price Ms, Kathleen Marie Williams-price, is a registered financial advisor currently at INDEPENDENT WEALTH NETWORK, INC. located in Lubblock, Texas and MCDERMOTT INVESTMENT SERVICES, LLC located in Lubbock, Texas.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kathleen has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen Marie Pitts | Kathy Pitts | Kathleen Marie Williams | Kathleen M Williams-Price Ms | Kathleen Marie Williams-Price

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. KATHLEEN WILLIAMS RENTALS/DUPLEX;NOT INVESTMENT RELATED;LUBBOCK,TX; 08/1976-PRESENT;1 HR WEEKLY/0 HRS DURING TRADING; OWNER 2. MEDICARE SUPPLEMENT PLAN SALES; NOT INVESTMENT RELATED, 7021 KEWANEE AVE STE 8-102, LUBBOCK,TX 79424; 03/01/2019-PRESENT; 4 HOURS MONTHLY/4 DURING TRADING HOURS 3. WATER AEROBICS INSTRUCTOR; NOT INVESTMENT RELATED; LUBBOCK,TX; INSTRUCTOR; 01/01/2019-PRESENT; 16 HRS/MO - NONE DURING TRADING HOURS. 4. ARCHER FINANCIAL PARTNERS; INVESTMENT-RELATED; 7021 KEWANEE AVE., STE 8-102, LUBBOCK, TX, 79424; DBA UNDER WHICH ADVISORY SERVICES OF INDEPENDENT WEALTH NETWORK ARE OFFERED; INVESTMENT ADVISER REPRESENTATIVE AND SR. VICE PRESIDENT; 09/2018; 40 HOURS PER MONTH; 40 HOURS DURING SECURITIES TRADING HOURS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Marie Williams-price'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®

None

Experience

Current

September 17, 2018 - Present

INDEPENDENT WEALTH NETWORK, INC.

Office #1: Archer Financial Partners 7021 Kewanee Ave, Bldg.8 - 101, Lubblock, TX 79424

RIA

CRD#: 286262

Lubblock, TX

Current

January 24, 2024 - Present

MCDERMOTT INVESTMENT SERVICES, LLC

Office #1: 7021 Kewanee Ave Suite 8-102, Lubbock, TX 79424

CRD#: 250

LUBBOCK, TX

Past

May 24, 1994 - July 12, 2005

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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".

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 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.

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

IAR

Louisiana
(11/19/2024)

IAR

Minnesota
(9/20/2023)

IAR

Missouri
(8/29/2025)

IAR

Nevada
(7/26/2021)

IAR

New Mexico
(12/6/2024)

IAR

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

CRD#: 286262 / SEC#: 801-110559

RIA

Registered Investment Advisory firm - (6/1/2017 Approved)

Ohio

Registered Investment Advisory firm - (8/26/2019 Terminated)

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Contact information

Main Address

2350 Nw 128th St, Urbandale, IA 50323

Mailing Address

Phone number

(515) 461-5123

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

250106 ADV 2A (1/6/2025)

Regulatory assets under management

Total Number of Accounts	2,626
AUM (Assets Under Management)	$ 422,577,169

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

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Kathleen M. Williams-price

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Marie Williams-price's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCDERMOTT INVESTMENT SERVICES, LLC

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

LOWELL & COMPANY, INC.

LOWELL & COMPANY, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

EDWARD JONES

EDWARD JONES

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

INDEPENDENT WEALTH NETWORK, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/22/2007

Series 63

Date: 4/25/1994

SIE

Date: 10/1/2018

Series 7

Date: 9/6/2005

Series 6

Date: 5/23/1994

FINRA

Current Firm

INDEPENDENT WEALTH NETWORK, INC.

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT WEALTH NETWORK, INC.

TRUST BUT VERIFY

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