KH
Kathleen L. Havlu
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CRD#: 2596065
KH
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.
Kathleen Lynnette Havlu, who also goes by Kathleen Lynnette Anthony, Kitty Havlu, Kathleen Lynnette King, Kitty King, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1998. Kathleen had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathleen Lynnette Anthony | Kitty Havlu | Kathleen Lynnette King | Kitty King
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.
The advisor shows no other business activity.
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®
NoneExperience
Past
March 22, 2019 - June 5, 2019
G. A. REPPLE & COMPANY
RIA
CRD#: 17486
INVERNESS, FL
Past
February 15, 2019 - June 5, 2019
G. A. REPPLE & COMPANY
BD
CRD#: 17486
INVERNESS, FL
Past
July 7, 2016 - February 28, 2018
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
THE VILLAGES, FL
Past
July 5, 2016 - February 28, 2018
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
THE VILLAGES, FL
Past
November 10, 2014 - March 14, 2016
D.A. DAVIDSON & CO.
RIA
CRD#: 199
NEWPORT BEACH, CA
Past
November 10, 2014 - March 14, 2016
D.A. DAVIDSON & CO.
BD
CRD#: 199
NEWPORT BEACH, CA
Past
April 5, 2011 - November 18, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEWPORT BEACH, CA
Past
April 4, 2011 - November 18, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
NEWPORT BEACH, CA
Past
February 22, 2010 - April 11, 2011
MORGAN STANLEY
RIA
CRD#: 149777
IRVINE, CA
Past
June 1, 2009 - August 14, 2009
MORGAN STANLEY
RIA
CRD#: 149777
IRVINE, CA
Past
June 1, 2009 - April 11, 2011
MORGAN STANLEY
BD
CRD#: 149777
IRVINE, CA
Past
August 9, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
IRVINE, CA
Past
August 8, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
IRVINE, CA
Past
July 28, 2004 - August 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GAINESVILLE, FL
Past
January 2, 2004 - August 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 14, 1998 - September 25, 2003
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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".
GA
G. A. REPPLE & COMPANY
123-INVESTING | WOLFE FINANCIAL GROUP | WITTHAUER FINANCIAL GROUP | WALKER FINANCIAL | TRINITY WEALTH MANAGEMENT | THOMAS STROBHAR FINANCIAL | TELEIOS FINANCIAL PARTNERS | REPPLE WEALTH MANAGEMENT | REPPLE WEALTH GROUP | MANGROVE FINANCIAL GROUP | KINGDOM FINANCIAL SERVICES | HORIZON FINANCIAL SOLUTIONS | HARVEST FINANCIAL | GVC INVESTMENTS | G. A. REPPLE & COMPANY | EXODUS FINANCIAL SERVICES | ENGWALL CLARK AND ASSOCIATES | ENGEDI FINANCIAL | DAN HARDT FINANCIAL SERVICES | COVENANT FINANCIAL MANAGEMENT | CHRISTIAN FAMILY FINANCIAL | BOB HOLBROOK INVESTMENT SERVICES | AVANTI WEALTH MANAGEMENT | ANSEVIN ASSET MANAGEMENT | ALICEA SERVICES | ALAN SIEGEL FINANCIAL SERVICES
CRD#: 17486 / SEC#: 801-63426, 8-35315
RIA
Registered Investment Advisory firm - SEC (9/16/2004 Approved)Arkansas
Registered Investment Advisory firm - SEC (9/23/2004 Terminated)California
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Florida
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Louisiana
Registered Investment Advisory firm - SEC (2/11/2005 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)South Carolina
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
GA
G. A. REPPLE & COMPANY
123-INVESTING | WOLFE FINANCIAL GROUP | WITTHAUER FINANCIAL GROUP | WALKER FINANCIAL | TRINITY WEALTH MANAGEMENT | THOMAS STROBHAR FINANCIAL | TELEIOS FINANCIAL PARTNERS | REPPLE WEALTH MANAGEMENT | REPPLE WEALTH GROUP | MANGROVE FINANCIAL GROUP | KINGDOM FINANCIAL SERVICES | HORIZON FINANCIAL SOLUTIONS | HARVEST FINANCIAL | GVC INVESTMENTS | G. A. REPPLE & COMPANY | EXODUS FINANCIAL SERVICES | ENGWALL CLARK AND ASSOCIATES | ENGEDI FINANCIAL | DAN HARDT FINANCIAL SERVICES | COVENANT FINANCIAL MANAGEMENT | CHRISTIAN FAMILY FINANCIAL | BOB HOLBROOK INVESTMENT SERVICES | AVANTI WEALTH MANAGEMENT | ANSEVIN ASSET MANAGEMENT | ALICEA SERVICES | ALAN SIEGEL FINANCIAL SERVICES
CRD#: 17486 / SEC#: 801-63426, 8-35315
RIA
Registered Investment Advisory firm - SEC (9/16/2004 Approved)Arkansas
Registered Investment Advisory firm - SEC (9/23/2004 Terminated)California
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Colorado
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Florida
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Indiana
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Kentucky
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Louisiana
Registered Investment Advisory firm - SEC (2/11/2005 Terminated)Maryland
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)North Carolina
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Ohio
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)South Carolina
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (12/17/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (12/16/2004 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
101 Normandy Rd, Casselberry, FL 32707
Mailing Address
101 Normandy Rd, Casselberry, FL 32707
Phone number
(407) 339-9090
Established
Florida since 11/05/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
68
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,349 |
| AUM (Assets Under Management) | $ 614,731,911 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
