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YD

Yvonne K. Dean

STRATEGIC ADVISERS LLC
BATESVILLE, IN
Some features on this profile are disabled
CRD#: 2658756
YD

Professional summary

Yvonne K. Dean, CFP®, who also goes by Yvonne Kathy Arthur, Yvonne Kathy Dean, Yvonne Kathy Klug, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Batesville, Indiana and FIDELITY BROKERAGE SERVICES LLC located in Indianapolis, Indiana.

Yvonne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Yvonne has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Yvonne Kathy Arthur | Yvonne Kathy Dean | Yvonne Kathy Klug

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.
OBA-69020|OrgNmn:Indiana Right to Life|Org Addr:Indianapol,Indiana,US|OBA Nature:Advocacy for parents and child|Invst Rel:N|Title:Director|Duties:Board of Directors member: strategic planning and direction for the organization, sharing mission, |StrtDt:06-15-22|TotHrs/mon:8|TrdHrs/mon:1.5|OBA-17237|OrgNmn:Indiana Right to Life|Org Addr:Indianapol,Indiana,US|OBA Nature:Advocacy for parents and pre-b|Invst Rel:Y|Title:Volunteer|Duties:Assist IRTL with strategic planning for planned giving program.|StrtDt:06-01-20|TotHrs/mon:3|TrdHrs/mon:|OBA-17236|OrgNmn:Certified Financial Planner Board of Standards|Org Addr:Washington,District o,US|OBA Nature:Governing body for Certified F|Invst Rel:Y|Title:Volunteer for the Investigation R|Duties:Subject matter expert for annuities and life insurance|StrtDt:10-01-20|TotHrs/mon:4|TrdHrs/mon:|OBA-59553|OrgNmn:Certified Financial Planner Board of Standards|Org Addr:Washington,District o,US|OBA Nature:Governing body for CFP(r) cert|Invst Rel:Y|Title:Branch Leader|Duties:Assist with stratgy and governance of CFP(r) certificants.|StrtDt:01-01-22|TotHrs/mon:5|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Yvonne K. Dean'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®
CFP®

Certified Financial Planner

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 8480 Keystone Crossing, Indianapolis, IN 46240-2437
RIA
CRD#: 104555
BATESVILLE, IN
Current

December 15, 2020 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 8480 Keystone Crossing Blvd, Indianapolis, IN 46240
BD
CRD#: 7784
Indianapolis, IN
Past

December 24, 2020 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
INDIANAPOLIS, IN
Past

October 30, 2018 - October 20, 2020

ONEAMERICA SECURITIES, INC.

RIA
CRD#: 4173
INDIANAPOLIS, IN
Past

October 30, 2018 - October 20, 2020

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

September 28, 2017 - September 11, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
INDIANAPOLIS, IN
Past

September 28, 2017 - September 11, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
INDIANAPOLIS, IN
Past

May 25, 2016 - May 9, 2017

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
ST. JOSEPH, MI
Past

May 23, 2016 - May 9, 2017

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
ST. JOSEPH, MI
Past

August 27, 2014 - January 19, 2016

SCHWAB WEALTH ADVISORY, INC.

RIA
CRD#: 159035
INDIANAPOLIS, IN
Past

August 27, 2014 - January 19, 2016

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
INDIANAPOLIS, IN
Past

January 28, 2013 - July 29, 2014

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
INDIANAPOLIS, IN
Past

January 24, 2013 - July 29, 2014

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
INDIANAPOLIS, IN
Past

April 13, 2006 - October 25, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
GREENWOOD, IN
Past

September 18, 1995 - October 25, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
GREENWOOD, IN

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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)

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
Indiana
(12/15/2020)
IAR
Indiana
(3/31/2025)
RR
Massachusetts
(12/22/2020)
RR
Texas
(12/15/2020)
IAR
Texas
(3/31/2025)
RR
Utah
(12/22/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/6/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/15/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/11/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/15/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/30/2014
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/9/2014
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/11/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
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

STRATEGIC ADVISERS LLC

CRD#: 104555Batesville, IN

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