Katherine H. Powell
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.
Katherine Helen Powell, who also goes by Katherine Helen Dunnett, Katherine H Powell, Kathy Helen Powell, Katherine Helen Schroedter, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1995. Katherine had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2015 - March 29, 2022
AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC
May 28, 2015 - April 8, 2021
TRIAD ADVISORS LLC
July 5, 2011 - May 15, 2015
LPL FINANCIAL LLC
July 5, 2011 - May 15, 2015
LPL FINANCIAL LLC
July 25, 2007 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
July 25, 2007 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
September 13, 2001 - August 15, 2007
VISION ASSET MANAGEMENT INC
July 23, 1999 - July 24, 2007
VISION INVESTMENT SERVICES, INC.
April 10, 1997 - May 12, 1999
CITICORP INVESTMENT SERVICES
October 18, 1995 - August 9, 1996
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC
CRD#: 147376 / SEC#: 801-132912
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
AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC
CRD#: 147376 / SEC#: 801-132912
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 231 |
| AUM (Assets Under Management) | $ 115,911,707 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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