Kathryn I. Duclo

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CRD#: 2967025

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

Are you a "fiduciary"?

Aliases

Kathi Irene Brower | Kathryn I Duclo | Kathryn Duclo-Amerine | Kathi Duclo-Lewis | Kathi Irene Lewis

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 OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/1998 APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, HEALTH, DISABILITY ANNUITIES AND LONG-TERM CARE 2. NAME OF OTHER BUSINESS: OFFICE OF KATHRYN DUCLO INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: INSURANCE START DATE: 10/1998 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: MAINTAIN INSURANCE CLIENTS WITH LIFE, AND HEALTH PRIMARILY 3. NAME OF OTHER BUSINESS: OFFICE OF KATHRYN DUCLO, INC. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2012 POSITION/TITLE/RELATIONSHIP: PRESIDENT APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: DO FINANCIAL PLANNING, TRADE SECURITIES, MANAGE ASSETS 4. NAME OF OTHER BUSINESS: SABRINA JULIAN INVESTMENT SERVICES INVESTMENT RELATED: YES ADDRESS: 466 A MAIN STREET MURPHYS CA 95247 NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 8/2023 POSITION/TITLE/RELATIONSHIP: FINANCIAL ADVISOR APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 8 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISOR, REGISTERED REP

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 4095

NEW YORK, NY

Past

December 23, 1997 - September 3, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

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	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	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.

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Kathryn I. Duclo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

MONY SECURITIES CORPORATION

MONY SECURITIES CORPORATION

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/1999

Series 63

Date: 12/24/1997

SIE

Date: 10/1/2018

Series 7

Date: 4/17/2000

Series 6

Date: 11/24/1997

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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