Katherine B. Cullum

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CRD#: 4135965

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.

Katherine B Cullum, who also goes by Katherine A Brooks, Katherine A. Brooks, Katherine B Cullum, Katherine B. Cullum, Katie B. Cullum, Katie Cullum, Katherine Cullum, was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 2005. Katherine had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

Name of outside business organization: K C Homes & Land LLC Investment related: N Address of business: 1204 Berganot Trl, Castle Pines, Colorado 80108 Nature of business: LLC, Compensation for Activity: N, inactive Position, title, association: Owner, Start date of relationship: 3/30/2017 Number of hours devoted: 0 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: LLC is inactive.

Blog Corner

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®

None

Experience

Past

January 11, 2024 - March 25, 2024

INFINIUM INVESTMENT ADVISORS, LLC

RIA

CRD#: 149123

DENVER, CO

Past

June 12, 2019 - December 31, 2023

INFINIUM INVESTMENT ADVISORS, LLC

RIA

CRD#: 149123

DENVER, CO

Past

May 31, 2018 - August 10, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GREENWOOD VILLAGE, CO

Past

May 31, 2018 - August 10, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GREENWOOD VILLAGE, CO

Past

June 5, 2013 - April 21, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LONE TREE, CO

Past

June 5, 2013 - April 21, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LONE TREE, CO

Past

July 18, 2011 - May 28, 2013

DMK ADVISOR GROUP, INC.

CRD#: 41067

LUTZ, FL

Past

March 22, 2007 - July 26, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LITTLETON, CO

Past

March 22, 2007 - July 26, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LITTLETON, CO

Past

June 14, 2006 - February 20, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

ENGLEWOOD, CO

Past

June 14, 2006 - February 20, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

ENGLEWOOD, CO

Past

November 10, 2005 - March 8, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DENVER, CO

Past

June 23, 2005 - March 8, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DENVER, CO

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".

INFINIUM INVESTMENT ADVISORS, LLC

INFINIUM INVESTMENT ADVISORS, LLC | PANORAMA WEALTH ADVISORS | MACDONALD FINANCIAL SERVICES, INC

CRD#: 149123 / SEC#: 801-118226

RIA

Registered Investment Advisory firm - (3/13/2020 Approved)

California

Registered Investment Advisory firm - (4/23/2020 Terminated)

Colorado

Registered Investment Advisory firm - (3/31/2020 Terminated)

Michigan

Registered Investment Advisory firm - (3/24/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/24/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/9/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 8/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/2005

General Securities Representative Examination

Current Firm

INFINIUM INVESTMENT ADVISORS, LLC

INFINIUM INVESTMENT ADVISORS, LLC | PANORAMA WEALTH ADVISORS | MACDONALD FINANCIAL SERVICES, INC

CRD#: 149123 / SEC#: 801-118226

RIA

Registered Investment Advisory firm - (3/13/2020 Approved)

California

Registered Investment Advisory firm - (4/23/2020 Terminated)

Colorado

Registered Investment Advisory firm - (3/31/2020 Terminated)

Michigan

Registered Investment Advisory firm - (3/24/2020 Terminated)

Texas

Registered Investment Advisory firm - (3/24/2020 Terminated)

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Contact information

Main Address

50 S. Steele, Suite 830, Denver, CO 80209

Mailing Address

Phone number

(720) 253-1818

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	424
AUM (Assets Under Management)	$ 101,674,036

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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Advisor Monitoring

Firm Stability Insights

Katherine B. Cullum

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

INFINIUM INVESTMENT ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

DMK ADVISOR GROUP, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

INFINIUM INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2005

SIE

Date: 8/10/2018

Series 7

Date: 6/22/2005

Current Firm

INFINIUM INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INFINIUM INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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