Kathryn I. Duclo
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.
Kathryn Irene Duclo, who also goes by Kathi Irene Brower, Kathryn I Duclo, Kathryn Duclo-amerine, Kathi Duclo-lewis, Kathi Irene Lewis, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 1997. Kathryn had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2023 - December 31, 2024
CETERA INVESTMENT ADVISERS LLC
August 2, 2023 - May 16, 2025
CETERA WEALTH SERVICES, LLC
December 7, 2010 - August 4, 2023
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
December 3, 2010 - August 4, 2023
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 10, 2007 - December 7, 2010
EQUITABLE ADVISORS, LLC
December 7, 2007 - December 7, 2010
EQUITABLE ADVISORS, LLC
April 2, 2004 - December 10, 2007
1717 CAPITAL MANAGEMENT COMPANY
March 23, 2004 - December 10, 2007
1717 CAPITAL MANAGEMENT COMPANY
January 28, 2004 - March 19, 2004
MONY SECURITIES CORPORATION
September 4, 2003 - March 19, 2004
MONY SECURITIES CORPORATION
June 8, 2000 - September 3, 2003
MSI FINANCIAL SERVICES, INC.
December 23, 1997 - September 3, 2003
METROPOLITAN LIFE INSURANCE COMPANY
December 23, 1997 - September 3, 2003
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
