Katie Clark

TLG ADVISORS

ELMIRA, NY 14901

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CRD#: 2917734

Professional summary

Katie Clark, CFP®, who also goes by Kathryn A Clark, Kathryn Anne Cary Clark, Kathryn Annecary Clark, Katie Clark, Kathryn A Clark Pittenger, Kathryn A Clark Prettenger, Kathryn A Pittenger, Katie Clark Wedding, is a registered financial advisor currently at TLG ADVISORS, INC. located in Elmira, New York and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Katie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Katie has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.) BKA FINANCIAL, LLC (BKA PRIVATE WEALTH CONSULTANTS) - 6/1/2011 - 139 Marina Del Rey Ct Clearwater Bch, FL 33767 - Executive Director, Co-National Sales Manager, Advanced Insurance Planning Specialist, Management of sales force, marketing, business operations., insurance business, Not Invt Rel, 170 hrs/mo; 10 hrs/mo (during trading hours). 2.) TLG ADVISORS, INC. - 4/17/2013 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 0 hrs/mo; 0 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katie Clark'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

Experience

Current

April 17, 2013 - Present

TLG ADVISORS, INC.

Office #1: 244 W Water St, Suite 200, Elmira, NY 14901

RIA

CRD#: 111052

ELMIRA, NY

Current

April 17, 2013 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 8174

WEEHAWKEN, NJ

Past

August 26, 1997 - October 27, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

TLG ADVISORS, INC.

CRD#: 111052 / SEC#: 801-60458

RIA

Registered Investment Advisory firm - (8/6/2001 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(4/17/2013)

District of Columbia
(4/17/2013)

Florida
(5/13/2020)

Maryland
(4/17/2013)

New Jersey
(4/17/2013)

New York
(4/17/2013)

IAR

New York
(1/26/2024)

Pennsylvania
(4/17/2013)

Virginia
(4/17/2013)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/18/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/6/1997

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: 8/25/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TLG ADVISORS, INC.

CRD#: 111052 / SEC#: 801-60458

RIA

Registered Investment Advisory firm - (8/6/2001 Approved)

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Contact information

Main Address

475 Springfield Ave, Summit, NJ 07901

Mailing Address

Phone number

(888) 371-0013

Established

Firm type

Fiscal year end

# of Employees

280

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TLG ADVISORS FORM ADV BROCHURE 2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	6,331
AUM (Assets Under Management)	$ 1,948,103,893

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

Katie Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katie Clark's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEGG MASON WOOD WALKER, INCORPORATED

LEGG MASON WOOD WALKER, INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

TLG ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/18/2002

Series 63

Date: 10/6/1997

SIE

Date: 10/1/2018

Series 7

Date: 8/25/1997

FINRA

Current Firm

TLG ADVISORS, INC.

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TLG ADVISORS, INC.

TRUST BUT VERIFY

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