KS
Kathleen E. Schroeder
RMAS
BELLMAWR, NJ 08031
Some features on this profile are disabled
CRD#: 2476975
KS
Professional summary
Kathleen Elizabeth Schroeder, who also goes by Kathleen Elizabeth Small, is a registered financial advisor currently at RMAS, INC. located in Bellmawr, New Jersey and ALDEN CAPITAL located in Kor East Unit A, New Jersey.
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 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Elizabeth Small
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)Name of Business: KINGS MANAGEMENT COMPANY
Investment-related: YES
Address: 420 BENIGNO BLVD 1ST FLOOR; KOR EAST UNIT A, BELLMAWR, NJ 08031
Nature of the other business: INSURANCE SALES & TAX PREPARATION
Position, title, or relationship with the other business: VICE PRESIDENT
Start date: 1992
Approx# of hours/month you devote to the other business: 40-60
Approx#of hours/month you devote to the other business during securities trading hours: 40-60
Duties relating to the other business: PAPERWORK & CLIENT MEETINGS
2) Name of Business: RISK MANAGEMENT ADVISORY SERVICES, INC.
Investment-related: Yes
Address: 420 BENIGNO BLVD 1ST FLOOR; KOR EAST UNIT A, BELLMAWR, NJ 08031
Nature of the other business: Independent RIA
Position, title, or relationship with the other business: Vice President
Start date: 2002
Approx# of hours/month you devote to the other business: 4-40
Approx# of hours/month you devote to the other business during securities trading hours: 4-40
Describe your duties relating to the other business: Paperwork & Client Meetings
3)Trust account: PETER G SCHLOTTERER & ELIZABETH M. ZIPF CHARITABLE TRUST
Trustee on family account
4) Trust account: KAREN M DEACON IRROVOCABLE TRUST
Trustee on family account
5) Trust account:SHARON K SMALL IRREVOCABLE TRUST
Trustee on family account.
Relationship of grantor: MOTHER
6) Trust account: TRUSTEE OF WILLIAM R SMALL FAMILY TRUST
Trustee on family account
7)Trust account: TRUSTEE OF WILLIAM R SMALL FAMILY TRUST FBO KRISTEN A. SMALL
Trustee on family account.
8)Trust account: TRUSTEE OF WILLIAM R SMALL FAMILY TRUST FBO KATHLEEN SCHROEDER
Trustee on family account
9)Trust account: TRUSTEE OF WILLIAM R SMALL FAMILY TRUST FBO PAMELA S. SMALL
Trustee on family account.
10)Trust account: TRUSTEE OF THE SCOTT A. ANDERSON FAMILY TRUST
Trustee on family account
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Elizabeth Schroeder'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 4, 2011 - Present
RMAS, INC.
Office #1: 420 Benigno Blvd. 1st Floor Kor-east, Unit A, Bellmawr, NJ, 08031RIA
CRD#: 118242
BELLMAWR, NJ
Current
August 29, 2019 - Present
ALDEN CAPITAL
Office #1: 420 Benigno Blvd 1st Floor, Kor East Unit A, NJ 08031RIA
CRD#: 293551
Kor East Unit A, NJ
Current
July 17, 2019 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 420 Benigno Blvd. 1st Floor Kor East Unit A, Mellmawr, NJ 08031BD
CRD#: 40002
Mellmawr, NJ
Past
September 24, 2010 - July 15, 2019
CAPITOL SECURITIES MANAGEMENT, INC.
BD
CRD#: 14169
BELLMAWR, NJ
Past
June 2, 1994 - October 4, 2010
OSAIC FS, INC.
BD
CRD#: 3870
MT EPHRAIM, NJ
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".
AC
ALDEN CAPITAL
ALDEN CAPITAL | STRATEGIC WEALTH MANAGEMENT ADVISORS | SPARTA WEALTH PARTNERS | MYZ FINANCIAL & INSURANCE SERVICES | GUERRA PAN ADVISORS, LLC | COURSEMARK | ALDEN INVESTMENT GROUP | ALDEN CAPITAL MANAGEMENT, LLC | ALDEN CAPITAL MANAGEMENT INC.
CRD#: 293551 / SEC#: 801-116941
RIA
Registered Investment Advisory firm - (7/9/2019 Approved)New York
Registered Investment Advisory firm - (10/10/2018 Approved)Pennsylvania
Registered Investment Advisory firm - (7/25/2019 Terminated)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
Delaware(7/17/2019)
IAR
Delaware(10/15/2025)
RR
Hawaii(1/17/2024)
RR
Maryland(7/17/2019)
IAR
Maryland(8/29/2019)
RR
Nevada(10/22/2019)
IAR
New Jersey(1/4/2011)
RR
New Jersey(1/6/2022)
IAR
Pennsylvania(6/5/2012)
RR
Pennsylvania(7/17/2019)
IAR
Texas(4/27/2017)
RR
Wisconsin(2/21/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ALDEN CAPITAL
ALDEN CAPITAL | STRATEGIC WEALTH MANAGEMENT ADVISORS | SPARTA WEALTH PARTNERS | MYZ FINANCIAL & INSURANCE SERVICES | GUERRA PAN ADVISORS, LLC | COURSEMARK | ALDEN INVESTMENT GROUP | ALDEN CAPITAL MANAGEMENT, LLC | ALDEN CAPITAL MANAGEMENT INC.
CRD#: 293551 / SEC#: 801-116941
RIA
Registered Investment Advisory firm - (7/9/2019 Approved)New York
Registered Investment Advisory firm - (10/10/2018 Approved)Pennsylvania
Registered Investment Advisory firm - (7/25/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
37 West Ave Suite 301, Wayne, PA 19087
Mailing Address
37 West Ave Suite 301, Wayne, PA 19087
Phone number
(215) 572-8700
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,147 |
| AUM (Assets Under Management) | $ 1,444,147,688 |
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.
