Kathryn M. Mahoney
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.
Kathryn Mary Mahoney, who also goes by Kathryn Harms, Kathryn Jurgens, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1995. Kathryn had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2016 - May 14, 2019
EMPOWER ADVISORY GROUP, LLC
September 20, 2016 - May 14, 2019
EMPOWER FINANCIAL SERVICES, INC.
November 7, 2008 - August 24, 2016
MISSIONSQUARE RETIREMENT
November 17, 2003 - August 24, 2016
MISSIONSQUARE INVESTMENT SERVICES
October 7, 1998 - October 16, 2003
VALIC FINANCIAL ADVISORS, INC.
July 7, 1995 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
