Kathleen L. Godfrey

GODFREY FINANCIAL ASSOCIATES

Glenmont, NY 12077-3801

Some features on this profile are disabled

CRD#: 2672217

Professional summary

Kathleen Louise Godfrey, who also goes by Kathleen Godfrey, Kathleen Louise Rutherford, Maw Rutherford, is a registered financial advisor currently at GODFREY FINANCIAL ASSOCIATES, INC. located in Glenmont, New York.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Kathleen has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen Godfrey | Kathleen Louise Rutherford | Maw Rutherford

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.

Godfrey Financial Associates, Inc., FINANCIAL PLANNING, INVESTMENT ADVISOR, INSURANCE SALES. COMPENSATION INCLUDES: STANDARD COMMISSIONS ON FIXED LIFE AND HEALTH INSURANCE (INCLUDING LONG TERM CARE), FINANCIAL PLANNING FEES. APPROXIMATELY 150 HOURS MONTHLY DEVOTED TO THIS BUSINESS. ADDRESS:797 Route 9W, Glenmont, NY 12077 (518)7567-2574 KATHLEEN L. GODFREY IS SOLE OWNER. BUSINESS BEGAN FEBRUARY 1996.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Louise Godfrey'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®

None

Experience

Current

June 21, 2021 - Present

GODFREY FINANCIAL ASSOCIATES, INC.

Office #1: 797 Route 9w, Glenmont, NY 12077-3801

RIA

CRD#: 126189

Glenmont, NY

Past

October 27, 2016 - November 19, 2019

GODFREY FINANCIAL ASSOCIATES, INC.

RIA

CRD#: 126189

GLENMONT, NY

Past

July 3, 2001 - February 25, 2005

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

November 21, 1995 - July 6, 2001

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

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".

GODFREY FINANCIAL ASSOCIATES, INC.

GODFREY FINANCIAL ASSOCIATES, INC. | KATHLENN GODFREY FINANCIAL PLANNING | KATHLEEN GODFREY FINANCIAL PLANNING | GODFREY, KATHLEEN LOUISE

CRD#: 126189 / SEC#: 801-78531

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

New York

Registered Investment Advisory firm - (11/6/2013 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(6/21/2021)

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 65

Date: 10/12/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/20/1995

General Securities Representative Examination

Current Firm

GODFREY FINANCIAL ASSOCIATES, INC.

GODFREY FINANCIAL ASSOCIATES, INC. | KATHLENN GODFREY FINANCIAL PLANNING | KATHLEEN GODFREY FINANCIAL PLANNING | GODFREY, KATHLEEN LOUISE

CRD#: 126189 / SEC#: 801-78531

RIA

Registered Investment Advisory firm - (9/20/2013 Approved)

New York

Registered Investment Advisory firm - (11/6/2013 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

797 Route 9w, Glenmont, NY 12077-3801

Mailing Address

Phone number

(518) 767-2574

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GODFREY FINANCIAL ASSOCIATES, INC. (2/14/2025)

Regulatory assets under management

Total Number of Accounts	618
AUM (Assets Under Management)	$ 159,568,214

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.

Similar Advisors

Nichole Raftopoulos

NVEST FINANCIAL, LLC

IAR

Portland, ME

Douglas Kelly

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Latham, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathleen L. Godfrey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Louise Godfrey's CRS (Customer Relationship Summary).

Certified licenses

Experience

GODFREY FINANCIAL ASSOCIATES, INC.

GODFREY FINANCIAL ASSOCIATES, INC.

INVESTACORP, INC.

SUNAMERICA SECURITIES, INC.

Primary Firm SEC Registration

GODFREY FINANCIAL ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/1999

Series 63

Date: 12/2/1995

Series 7

Date: 11/20/1995

Current Firm

GODFREY FINANCIAL ASSOCIATES, INC.

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GODFREY FINANCIAL ASSOCIATES, INC.

TRUST BUT VERIFY

Similar Advisors