KH
Kathryn L. Hooper
OSAIC INSTITUTIONS
Des Moines, IA 50309
Some features on this profile are disabled
CRD#: 3099687
KH
Professional summary
Kathryn Leeper Hooper, who also goes by Kathryn Lea Leeper, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Des Moines, Iowa.
Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Kathryn has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathryn Lea Leeper
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn Leeper Hooper's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kathryn Leeper Hooper'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
January 13, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 627 E Locust St, Des Moines, IA 50309RIA
BD
CRD#: 35371
Des Moines, IA
Current
January 13, 2025 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 627 E Locust St, Des Moines, IA 50309RIA
BD
CRD#: 35371
Des Moines, IA
Past
December 15, 2017 - January 10, 2025
SORRENTO PACIFIC FINANCIAL, LLC
RIA
CRD#: 127787
Des Moines, IA
Past
December 15, 2017 - January 10, 2025
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
Des Moines, IA
Past
May 25, 2017 - December 15, 2017
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
Des Moines, IA
Past
May 25, 2017 - December 15, 2017
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
Des Moines, IA
Past
November 10, 2011 - April 25, 2016
INVESTMENT ADVISORS CORP
RIA
CRD#: 117531
WEST DES MOINES, IA
Past
November 10, 2011 - April 25, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
BD
CRD#: 8073
WEST DES MOINES, IA
Past
January 3, 2011 - October 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CLIVE, IA
Past
January 3, 2011 - October 5, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CLIVE, IA
Past
August 5, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
CLIVE, IA
Past
December 13, 2000 - March 13, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
CLIVE, IA
Past
November 10, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Arizona(1/13/2025)
RR
Florida(1/13/2025)
RR
Iowa(1/13/2025)
IAR
Iowa(1/13/2025)
RR
Texas(1/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Des Moines, IA 50309TRUST BUT VERIFY
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