KG
Kathryn P. Gustafson
THE STRATEGIC FINANCIAL ALLIANCE
Fairfax, VA 22030
Some features on this profile are disabled
CRD#: 2926226
KG
Professional summary
Kathryn Pocock Gustafson, who also goes by Kathy Gustafson, Kathryn Pocock, Kathy Pocock, is a registered financial advisor currently at THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Fairfax, Virginia and STRATEGIC BLUEPRINT, LLC located in Fairfax, Virginia.
Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Kathryn has worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathy Gustafson | Kathryn Pocock | Kathy Pocock
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.) Name: Keen & Pocock Position: Partner Nature: DBA for financial services Investment Related: Yes Hours: 100 Securities Trading Hours: 40 Start Date: 09/01/2012 Address: 10300 Eaton Place, Suite 470, Fairfax VA 22033, United States Description: offer financial planning services including investment analysis, investment selection, asset allocation, retirement income strategies, investment management, risk management as registered representative of SFA and investment adviser representative of Strategic Blueprint. 2.) Name: Green Pear Interiors Position: Partner Nature: home accessories and decor Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 08/01/2002 Address: 12461 Oliver Cromwell Dr, Oak Hill VA 20171, United States Description: buy and sell inventory 3.) Name: Keen Pocock Tax Service Position: Refer clients to Keen Pocock Tax Services Nature: tax services Investment Related: No Hours: 0 Securities Trading Hours: 0 Start Date: 01/01/2018 Address: 10300 Eaton Place, Suite 470, Fairfax VA 22033, United States Description: no day to day duties - refer clients that may benefit from tax services. 4.) Name: Fixed insurance through various carriers Position: Agent Nature: General Agent for the sale of term life, long term care and disability insurance and fixed annuity products. Investment Related: No Hours: 5 Securities Trading Hours: 5 Start Date: 09/01/2012 Address: 10300 Eaton Place, Suite 470, Fairfax VA 22033, United States Description: determine coverage amount and timeline; identify income needs 5.)Name: Keen & Pocock Financial Academy LLC Position: Partner Nature: provide financial education and literacy to recent college grads, newlyweds and young professionals. Investment Related: Yes Hours: 1 Securities Trading Hours: 0 Start Date: 10/08/2024 Address: 12544 Lt Nichols Rd, Fairfax VA 22033, United States Description: I will preparing content for workshops in a group settings. I will be a presenter at the workshops, too.
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn Pocock Gustafson's 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®
NoneExperience
Current
April 20, 2012 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 10300 Eaton Place Suite 470, Fairfax, VA 22030RIA
BD
CRD#: 126514
Fairfax, VA
Current
August 13, 2018 - Present
STRATEGIC BLUEPRINT, LLC
Office #1: 10300 Eaton Place Suite 470, Fairfax, VA 22030RIA
CRD#: 284840
Fairfax, VA
Current
April 20, 2012 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 10300 Eaton Place Suite 470, Fairfax, VA 22030RIA
BD
CRD#: 126514
Fairfax, VA
Past
October 5, 2006 - April 20, 2012
GLOBAL BROKERAGE SERVICES, INC.
RIA
CRD#: 37505
FAIRFAX, VA
Past
August 11, 1997 - April 20, 2012
GLOBAL BROKERAGE SERVICES, INC.
BD
CRD#: 37505
FAIRFAX, VA
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".
SB
STRATEGIC BLUEPRINT, LLC
BEE STREET ADVISORY GROUP | THE RETIREMENT COACH | THE BAKER FINANCIAL GROUP | STRATEGIC BLUEPRINT, LLC | SHERPA FINANCIAL ADVISORS | PREHMUS FINANCIAL PARTNERS | OAKPOINT INVESTMENT PARTNERS | MIDWEST WEALTH MANAGEMENT | METAPARADIGM WEALTH MANAGEMENT | LIFE INCOME | LFA PRIVATE WEALTH MANAGEMENT | LEHNER SHOPE WEALTH GROUP | KEEN & POCOCK FINANCIAL PARTNERS | GOODWIN WEALTH | GENCREST CAPITAL PARTNERS | FAMILY WEALTHCARE | DESERT GROVE INVESTMENTS | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | COMPASS FINANCIAL SERVICES | CLARITY FINANCIAL ADVISORS | BOURNE FINANCIAL COACHING | BENKO FINANCIAL SERVICES
CRD#: 284840 / SEC#: 801-108531
RIA
Registered Investment Advisory firm - (10/28/2016 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.RR
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
RR
Delaware(10/8/2019)
RR
District of Columbia(4/20/2012)
RR
Florida(7/19/2016)
RR
Kansas(1/2/2020)
RR
Maryland(4/20/2012)
RR
Michigan(10/23/2018)
RR
New Mexico(1/2/2020)
RR
New York(4/20/2012)
RR
North Carolina(1/3/2017)
RR
Ohio(4/20/2012)
RR
Oregon(9/11/2013)
RR
Tennessee(1/2/2020)
RR
Texas(1/3/2017)
IAR
Texas(1/4/2017)
RR
Utah(4/20/2012)
RR
Virginia(4/20/2012)
IAR
Virginia(4/20/2012)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SB
STRATEGIC BLUEPRINT, LLC
BEE STREET ADVISORY GROUP | THE RETIREMENT COACH | THE BAKER FINANCIAL GROUP | STRATEGIC BLUEPRINT, LLC | SHERPA FINANCIAL ADVISORS | PREHMUS FINANCIAL PARTNERS | OAKPOINT INVESTMENT PARTNERS | MIDWEST WEALTH MANAGEMENT | METAPARADIGM WEALTH MANAGEMENT | LIFE INCOME | LFA PRIVATE WEALTH MANAGEMENT | LEHNER SHOPE WEALTH GROUP | KEEN & POCOCK FINANCIAL PARTNERS | GOODWIN WEALTH | GENCREST CAPITAL PARTNERS | FAMILY WEALTHCARE | DESERT GROVE INVESTMENTS | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | COMPASS FINANCIAL SERVICES | CLARITY FINANCIAL ADVISORS | BOURNE FINANCIAL COACHING | BENKO FINANCIAL SERVICES
CRD#: 284840 / SEC#: 801-108531
RIA
Registered Investment Advisory firm - (10/28/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
Phone number
(678) 954-4130
Established
Firm type
Fiscal year end
# of Employees
57
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,067 |
| AUM (Assets Under Management) | $ 2,671,662,109 |
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.
