Katia Friend

SVB WEALTH

New York, NY 10036

Some features on this profile are disabled

CRD#: 4011538

Professional summary

Katia Friend, who also goes by Katia Jiser, is a registered financial advisor currently at SVB WEALTH located in New York, New York and FIRST CITIZENS INVESTOR SERVICES, INC. located in New York, New York.

Katia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Katia has worked at 6 firms and has passed the Series 65, Series 63, Series 66, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katia Jiser

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.

Mosaic Designs, The business is not investment-related, 110 Hillspoint Road, Westport, CT 06880, Residential single family home used for rental income, Owner/Landlord, 50% Member of LLC, 1/30/2023, 1/2 hour, None during trading hours, Oversee and maintain the residence. Long term tenant.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katia Friend's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 4, 2024 - Present

SVB WEALTH

Office #1: 11 West 42nd Street 13th Floor, New York, NY 10036

RIA

CRD#: 172832

New York, NY

Current

December 20, 2023 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 11 West 42nd Street, New York, NY 10036

RIA

CRD#: 44430

New York, NY

Past

July 20, 2020 - February 2, 2023

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

March 2, 2009 - December 31, 2015

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

NEW YORK, NY

Past

March 2, 2009 - December 31, 2015

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

June 18, 2008 - December 17, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

NEW YORK, NY

Past

February 29, 2008 - December 17, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NEW YORK, NY

Past

December 1, 2002 - March 3, 2008

UST SECURITIES CORP.

CRD#: 13906

NEW YORK, NY

Past

October 20, 1999 - December 1, 2002

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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.

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

New York
(12/21/2023)

IAR

New York
(3/4/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/4/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/7/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 6/12/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/26/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/19/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Katia Friend

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katia Friend's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

UST SECURITIES CORP.

UST FINANCIAL SERVICES CORP.

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 3/4/2024

Series 63

Date: 12/7/2020

Series 66

Date: 6/12/2008

Series 7

Date: 7/26/2001

Series 6

Date: 10/19/1999

FINRA

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

Similar Advisors