KS
Katherine K. Stellar
GOLDEN STATE WEALTH MANAGEMENT
Laguna Beach, CA 92651
Some features on this profile are disabled
CRD#: 3181468
KS
Professional summary
Katherine Kerr Stellar, CFP®, who also goes by Katherine Kerr Lemon, Katherine L Stellar, is a registered financial advisor currently at GOLDEN STATE WEALTH MANAGEMENT, LLC located in Laguna Beach, California and LPL FINANCIAL LLC located in Santa Ana, California.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Katherine has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Kerr Lemon | Katherine L Stellar
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. 03/26/2015 - STELLAR WEALTH ADVISORS - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - TIME SPENT - 100% - Laguna Beach, CA 2. 03/30/2015 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - GOLDEN STATE WEALTH MANAGEMENT, LLC - TIME SPENT 30% - IRVINE, CA 3. 04/14/2015 * Golden State Wealth Management, LLC * Registered Investment Advisor Hybrid * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 3/01/2015 * TIME SPENT 50% 4. 3/10/2016: Golden State Wealth Management, LLC - DBA: Stellar Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 03/16/2015 - 160 Hours Per Month/40 Hours During Securities Trading - Investment advice, Asset allocation advice, General Financial Planning Advice (CFP).
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Kerr Stellar'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®
CFP®
Start date: 2005
Experience
Current
March 17, 2015 - Present
GOLDEN STATE WEALTH MANAGEMENT, LLC
Office #1: 384 Forest Ave, Suite #21, Laguna Beach, CA 92651RIA
CRD#: 167995
Laguna Beach, CA
Current
March 16, 2015 - Present
LPL FINANCIAL LLC
Office #1: 201 E Sandpointe Ave Ste 460, Santa Ana, CA 92707-5743Office #2: 384 Forest Ave., Ste 21, Laguna Beach, CA 92651RIA
BD
CRD#: 6413
Santa Ana, CA
Past
November 29, 2010 - March 31, 2015
MORGAN STANLEY
RIA
CRD#: 149777
NEWPORT BEACH, CA
Past
November 24, 2010 - March 31, 2015
MORGAN STANLEY
BD
CRD#: 149777
NEWPORT BEACH, CA
Past
May 29, 2002 - November 24, 2010
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NEWPORT BEACH, CA
Past
February 1, 2002 - November 24, 2010
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEWPORT BEACH, CA
Past
March 12, 1999 - February 21, 2002
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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".
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)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
Alabama(11/11/2021)
RR
California(3/16/2015)
IAR
California(3/17/2015)
RR
Florida(11/10/2016)
RR
Georgia(3/16/2015)
RR
Massachusetts(11/11/2020)
RR
Missouri(3/16/2015)
RR
Montana(1/6/2021)
RR
New Mexico(2/6/2024)
RR
New York(6/21/2019)
RR
Texas(11/8/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GS
GOLDEN STATE WEALTH MANAGEMENT, LLC
ARIMATHEA | WESTLAKE INVESTMENT ADVISORS | SWITCHBACKS CAPITAL | STELLAR WEALTH ADVISORS | SOLARIS WEALTH MANGEMENT | ROHLING WEALTH MANAGEMENT | RENAISSANCE WEALTH MANAGEMENT | RASMUSSEN ADVISORS | PREMIER CAPITAL WEALTH MANAGEMENT | PRECISION CAPITAL MANAGEMENT | POINTWEALTH CAPITAL MANAGEMENT | PERCISION CAPITAL MANAGEMENT | PEEK WEALTH | OMEGA WEALTH MANAGEMENT | OGDEN WEALTH MANAGEMENT & PLANNING SERVICES | OGDEN WEALTH MANAGEMENT | OAKMONT FINANCIAL GROUP, LLC | MILLER WEALTH MANAGEMENT | MATZ WEALTH MANAGEMENT | LUNDQVIST WEALTH STRATEGIES | LAGUNA POINT WEALTH ADVISORS | ISAAC KIM WEALTH MANAGEMENT | IDEAL LIFE WEALTH MANAGEMENT, LLC | IDEAL LIFE WEALTH MANAGEMENT | HENARES, PREISLER & ASSOCIATES, INC. | GSWM | GSAM | GRANITE BAY WEALTH MANAGEMENT | GOLDEN STATE WEALTH MANAGEMENT, LLC | GOLDEN STATE EQUITY PARTNERS | GOLDEN STATE ASSET MANAGEMENT | GOLDEN STATE | FAGO WEALTH MANAGEMENT | ENVISION WEALTH STRATEGIES | CURT HOWARD WEALTH MANAGEMENT AND INSURANCE SOLUTIONS | CROSSROADS WEALTH ADVISORS | CORNERSTONE FINANCIAL | CONSOLIDATED FINANCIAL MANAGEMENT | COMPANION WEALTH MANAGEMENT | CHAMPLAIN WEALTH ADVISORS | BY THE SEA WEALTH MANAGEMENT | BUR OAK WEALTH MANAGEMENT | AURUM INVESTMENT MANAGEMENT
CRD#: 167995 / SEC#: 801-107445
RIA
Registered Investment Advisory firm - (3/21/2016 Approved)California
Registered Investment Advisory firm - (4/28/2016 Terminated)Washington
Registered Investment Advisory firm - (4/29/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
201 E. Sandpointe Avenue #460, South Coast Metro, CA 92707
Mailing Address
Phone number
(866) 273-1563
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,434 |
| AUM (Assets Under Management) | $ 1,835,285,996 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
