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Kathleen Sidley Parks

Kathleen S. Parks

APELLA WEALTH
Knoxville, TN 37922
Some features on this profile are disabled
CRD#: 2727455
Kathleen Sidley Parks

Professional summary

Kathleen Sidley Parks, CFP®, who also goes by Kathleen Marie Sidley, is a registered financial advisor currently at APELLA WEALTH located in Knoxville, Tennessee.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Kathleen has worked at 6 firms and has passed the Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathleen Marie Sidley

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.
R. W. SIDLEY, INC. PRIVATELY HELD CONCRETE COMPANY DIRECTOR: 3% TIME SPENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Sidley Parks'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

Start date: 1996

Experience

Current

July 7, 2017 - Present

APELLA WEALTH

Office #1: 10414 Jackson Oaks Way Suite 101, Knoxville, TN 37922
RIA
CRD#: 171106
Knoxville, TN
Past

July 7, 2017 - February 6, 2019

SYMMETRY PARTNERS

RIA
CRD#: 120982
Knoxville, TN
Past

January 5, 2011 - June 30, 2017

PATRIOT INVESTMENT MANAGEMENT GROUP INC

RIA
CRD#: 112155
KNOXVILLE, TN
Past

March 10, 2004 - March 17, 2011

GREENBRIER CAPITAL MANAGEMENT, PLLC

RIA
CRD#: 112403
KNOXVILLE, TN
Past

January 20, 1999 - December 31, 2010

SECURITIES AMERICA, INC.

BD
CRD#: 10205
KNOXVILLE, TN
Past

May 29, 1996 - January 28, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, 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".
AW
APELLA WEALTH
APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA
Registered Investment Advisory firm - (4/29/2014 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.

Highlighted states indicate IAR registrations

IAR
Connecticut
(7/7/2017)
IAR
Tennessee
(7/12/2017)
IAR
Texas
(7/22/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/28/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/6/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/28/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AW
APELLA WEALTH
APELLA CAPITAL | APELLA WEALTH | APELLA CAPITAL, LLC

CRD#: 171106 / SEC#: 801-79650

RIA
Registered Investment Advisory firm - (4/29/2014 Approved)
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Contact information

Main Address
65 Memorial Drive Suite C340, West Hartford, CT 06107
Mailing Address
Phone number
(860) 785-2260
Established
Firm type
Fiscal year end
# of Employees
140

SEC notice filing (44 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

APELLA WEALTH PART 2A OCTOBER 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts19,172
AUM (Assets Under Management)$ 7,953,076,688

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/24/2025
Cover Page
Report
03/29/2024
Cover Page
Report
04/30/2023
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

APELLA WEALTH

CRD#: 171106Knoxville, TN 37922

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