Katherine H. Powell

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CRD#: 2666368

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

Are you a "fiduciary"?

Aliases

Katherine Helen Dunnett | Katherine H Powell | Kathy Helen Powell | Katherine Helen Schroedter

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) AMERICAN COMMUNITY WEALTH MANAGEMENT; INVESTMENT RELATED; WOODSTOCK, IL; FINANCIAL PLANNING & INVESTMENT ADVISORY; PRIVATE BANK/WEALTH MANAGEMENT; 5/2015; 80 HRS/MONTH; 2.5 HRS DURING TRADING; FINANCIAL PLANNING INVESTMENT ALLOCATION & INVESTMENT ADVICE 2) AMERICAN COMMUNITY BANK & TRUST; NOT INVESTMENT RELATED; WOODSTOCK, IL; BANKING; PRIVATE BANKING; 5/2015; 80 HRS/MONTH; 2.5 HRS DURING TRADING; RESPONSIBLE FOR ASSETS UNDER MANAGEMENT BY DEVELOPING NEW BUSINESS THROUGH PROACTIVE SALES EFFORTS OF NEW AND EXISTING CLIENTS 3) TRIAD ADVISORS, INC.; INVESTMENT RELATED; WOODSTOCK, IL; BROKER DEALER & INVESTMENT ADVISER; REGISTERED REPRESENTATIVE; 5/2015; 80 HRS/MONTH; 2.5 HRS DURING TRADING; RESPONSIBLE FOR RESPONSIBLE FOR SOURCING NEW BUSINESS AND CLIENT MANAGEMENT

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

June 17, 2015 - March 29, 2022

AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC

RIA

CRD#: 147376

CRYSTAL LAKE, IL

Past

May 28, 2015 - April 8, 2021

TRIAD ADVISORS LLC

CRD#: 25803

WOODSTOCK, IL

Past

July 5, 2011 - May 15, 2015

LPL FINANCIAL LLC

RIA

CRD#: 6413

CRYSTAL LAKE, IL

Past

July 5, 2011 - May 15, 2015

LPL FINANCIAL LLC

CRD#: 6413

CRYSTAL LAKE, IL

Past

July 25, 2007 - July 5, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

RIA

CRD#: 13787

CRYSTAL LAKE, IL

Past

July 25, 2007 - July 5, 2011

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CRYSTAL LAKE, IL

Past

September 13, 2001 - August 15, 2007

VISION ASSET MANAGEMENT INC

RIA

CRD#: 110412

CRYSTAL LAKE, IL

Past

July 23, 1999 - July 24, 2007

VISION INVESTMENT SERVICES, INC.

CRD#: 46609

CRYSTAL LAKE, IL

Past

April 10, 1997 - May 12, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

October 18, 1995 - August 9, 1996

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, 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".

AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC

AMERICAN COMMUNITY WEALTH MANAGEMENT LLC | AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC

CRD#: 147376 / SEC#: 801-132912

RIA

Registered Investment Advisory firm - (7/3/2025 Approved)

Florida

Registered Investment Advisory firm - (7/18/2025 Terminated)

Illinois

Registered Investment Advisory firm - (7/18/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/18/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/20/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/14/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/17/1995

General Securities Representative Examination

Current Firm

AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC

AMERICAN COMMUNITY WEALTH MANAGEMENT LLC | AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC

CRD#: 147376 / SEC#: 801-132912

RIA

Registered Investment Advisory firm - (7/3/2025 Approved)

Florida

Registered Investment Advisory firm - (7/18/2025 Terminated)

Illinois

Registered Investment Advisory firm - (7/18/2025 Terminated)

Wisconsin

Registered Investment Advisory firm - (7/18/2025 Terminated)

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Contact information

Main Address

381 S. Main Street, Crystal Lake, IL 60014

Mailing Address

P.o. Box 2788, Crystal Lake, IL 60039-2788

Phone number

(815) 479-9024

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ACWM 2025 REVISED FORM ADV PART 2A (8/4/2025)

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Katherine H. Powell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

UVEST FINANCIAL SERVICES GROUP, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

VISION ASSET MANAGEMENT INC

VISION INVESTMENT SERVICES, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/20/2000

Series 63

Date: 11/14/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/17/1995

Current Firm

AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERICAN COMMUNITY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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