Kathleen A. Eckerson
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.
Kathleen Ann Eckerson, who also goes by Kathleen A Barbier, Kathleen A Eggleston, Kathleen Ann Solis, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1997. Kathleen had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
December 23, 2015 - September 3, 2024
ADVISORY ALPHA, LLC
September 8, 2009 - December 18, 2015
LPL FINANCIAL LLC
September 8, 2009 - December 18, 2015
LPL FINANCIAL LLC
December 24, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
December 24, 2008 - October 13, 2009
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
December 23, 2008 - September 8, 2009
ASSOCIATED SECURITIES CORP.
October 21, 1999 - December 31, 2008
FSC SECURITIES CORPORATION
August 31, 1999 - December 31, 2008
FSC SECURITIES CORPORATION
July 10, 1998 - September 1, 1999
WAMU INVESTMENTS, INC.
May 15, 1997 - June 29, 1998
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
ADVISORY ALPHA, LLC
CRD#: 158282 / SEC#: 801-72499
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
ADVISORY ALPHA, LLC
CRD#: 158282 / SEC#: 801-72499
Contact information
SEC notice filing (48 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 22,480 |
| AUM (Assets Under Management) | $ 3,468,083,482 |
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.
