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KD

Kathleen A. Dilillo Coombs

Some features on this profile are disabled
CRD#: 2619299
KD

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 Ann Dilillo Coombs, who also goes by Kathleen Ann Coombs, Katie Ann Coombs, Kathleen Ann Di Lillo Coombs, Katie Ann Di Lillo Coombs, Kathleen Ann Dilillo, Katie Ann Dilillo, Kathleen Ann Kess, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 1995. Kathleen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathleen Ann Coombs | Katie Ann Coombs | Kathleen Ann Di Lillo Coombs | Katie Ann Di Lillo Coombs | Kathleen Ann Dilillo | Katie Ann Dilillo | Kathleen Ann Kess

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) UNCOMMON SENSE POS: Parental Counseling NATURE: Website INV REL: No HRS: 8 TRADING HRS: 0 START: 11/01/2010, Carson City NV DESCR: Provide advice on disciplining children 2) SFG ANNUITY POS: Agent NATURE: null INV REL: Yes # HRS: 20 TRADING HRS: 1 START: 01/21/2009, Red Bank NJ , DESCR: Broker; annuity sales 3) SIRVA MORTGAGE POS: QUALIFIED EMPLOYEE NATURE: MORTGAGE CO. INV REL: Yes HRS: 2 TRADING HRS: 0 START: 04/01/2011, Carson City NV DESCR: Part-time mortgage lender. 4) THE CHOICE NETWORK, LTD POS: Investor- passive NATURE: The Choice Network provides resources to physicians including genetic testing via Proove Biosciences. INV REL: Yes HRS: 1 TRADING HRS: 0 START: 07/01/2016, Reno NV DESCR: investor only 5) SIERRA INSURANCE ADVISORS, LLC POS: Employee NATURE: SIA, LLC will sell all fixed ins products such as life insurance, annuities, & LTC. INV REL: Yes # HRS: 20 TRADING HRS: 20 START: 09/11/2014 ADDRESS: Carson City NV DESCR: Meet with clients to discuss insurance needs. 6) SIERRA FINANCIAL ADVISORS, LLC POS: Employee NATURE: Provide investment services through 1st Global. INV REL: Yes # HRS: 40 TRADING HRS: 40 START: 10/31/2001, Carson City NV DESCR: Recommend insurance and investment needs 7) RENO RODEO FOUNDATION BD POS: Board member NATURE: Provide services to the youth of Northern Nevada. INV REL: No HRS: 10 TRADING HRS: 0 START: 11/01/2017, Reno NV DESCR: Marketing Team, attend Board meetings, volunteer time at Rodeo related events 8) SO LONG SMALL TALK, LLC POS: Managing member NATURE: Podcast/writing a book. INV REL: Yes HRS: 15 TRADING HRS: 0 START: 12/03/2017, Reno NV DESCR: Writing, participating in podcasts, coming up with content 9) TOTAL HOME EXPERIENCE POS: Owner NATURE: Firm helps homeowners with all needs- cleaning, errands, moving, handyman projects, etc. INV REL=: No HRS: 20 TRADING HRS: 10 START: 08/01/2018, Reno NV DESCR: Connect homeowners with workers that will fulfill the needs they have to improve their homes. 10) SFG ANNUITY POS: Agent NATURE: Qualified and non-qualified fixed annuity business. INV REL.: Yes # HRS: 20 TRADING HRS: 1 START: 12/03/2018 ADDRESS: 10 Drs. James Parker Blvd, Suite 202, Red Bank NJ DESCR: Broker annuity sales 11) APEX HIGHWAY SERVICES, LLC POSITION: Owner NATURE: Installs rumble strips on roads. INV REL.: Yes NUMBER OF HRS: 1 TRADING HOURS: 0 START: 12/15/2018 ADDRESS: Plano TX DESCR: Investor only. 11) EVERYTHING EVENTS, LLC POSITION: Owner NATURE: Party Supply store INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 10/15/2021 ADDRESS: 13490 Mahogany Drive, Reno NV 89511, DESCRIPTION: Marketing

Blog Corner

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®
None

Experience

Past

October 25, 2019 - December 31, 2022

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
IRVING, TX
Past

October 25, 2019 - December 31, 2022

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
CARSON CITY, NV
Past

January 15, 2002 - October 25, 2019

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
CARSON CITY, NV
Past

December 11, 2001 - October 25, 2019

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
CARSON CITY, NV
Past

July 2, 1997 - December 19, 2001

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

October 18, 1996 - April 8, 1997

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

June 22, 1995 - October 30, 1996

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA

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
IAR
Series 65
Date: 6/21/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/27/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/1997
General Securities Principal Examination

Current Firm

AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

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Contact information

Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)
AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts140,306
AUM (Assets Under Management)$ 46,109,939,749

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024
Cover Page
Report
11/28/2023
Cover Page
Report
12/16/2022
Cover Page
Report

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

AVANTAX ADVISORY SERVICES

CRD#: 104556

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