Katherine C. Schwartz

COLOMB INVESTMENT MANAGEMENT COMPANY

Phoenix, AZ

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CRD#: 4142614

Professional summary

Katherine Coleman Schwartz, who also goes by Katherine Coleman Bugbee, Katherine Coleman Sullivan, Katherine Sullivan, Katherine Schwartz, is a registered financial advisor currently at COLOMB INVESTMENT MANAGEMENT COMPANY, LLC located in Phoenix, Arizona.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Katherine has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine Coleman Bugbee | Katherine Coleman Sullivan | Katherine Sullivan | Katherine Schwartz

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)11/02/2023 - VALIDUS FINANCIAL ASSOCIATES, PLLC. - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 11/2023 - 160 Hr/Mth 2)11/02/2023 - Moon Yoga and Healing LLC - Business Owner - Non-Inv Rel - Phoenix, AZ - Start: 08/2022 - 20 Hr/Mth

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Coleman Schwartz'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

June 27, 2024 - Present

COLOMB INVESTMENT MANAGEMENT COMPANY, LLC

RIA

CRD#: 140088

Phoenix, AZ

Past

November 7, 2023 - March 14, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

PEORIA, AZ

Past

November 7, 2023 - March 14, 2024

LPL FINANCIAL LLC

CRD#: 6413

PEORIA, AZ

Past

August 18, 2021 - February 3, 2022

MORGAN STANLEY

RIA

CRD#: 149777

PHOENIX, AZ

Past

August 9, 2021 - February 3, 2022

MORGAN STANLEY

CRD#: 149777

PHOENIX, AZ

Past

December 2, 2019 - December 11, 2019

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

SCOTTSDALE, AZ

Past

August 22, 2018 - December 11, 2019

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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".

COLOMB INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 140088 / SEC#: 801-130417

RIA

Registered Investment Advisory firm - (6/6/2024 Approved)

Alabama

Registered Investment Advisory firm - (6/17/2024 Terminated)

Florida

Registered Investment Advisory firm - (6/13/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (6/26/2024 Terminated)

Maryland

Registered Investment Advisory firm - (6/28/2024 Terminated)

Mississippi

Registered Investment Advisory firm - (6/27/2024 Terminated)

Texas

Registered Investment Advisory firm - (6/13/2024 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(6/27/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/7/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/27/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/22/2018

General Securities Representative Examination

Current Firm

COLOMB INVESTMENT MANAGEMENT COMPANY, LLC

CRD#: 140088 / SEC#: 801-130417

RIA

Registered Investment Advisory firm - (6/6/2024 Approved)

Alabama

Registered Investment Advisory firm - (6/17/2024 Terminated)

Florida

Registered Investment Advisory firm - (6/13/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (6/26/2024 Terminated)

Maryland

Registered Investment Advisory firm - (6/28/2024 Terminated)

Mississippi

Registered Investment Advisory firm - (6/27/2024 Terminated)

Texas

Registered Investment Advisory firm - (6/13/2024 Terminated)

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Contact information

Main Address

3636 South Interstate 10 Service Road Suite 214, Metairie, LA 70001

Mailing Address

Phone number

(504) 520-8050

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CIMC FORM ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 2,000,000

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 C. Schwartz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Coleman Schwartz's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

COLOMB INVESTMENT MANAGEMENT COMPANY, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/7/2019

Series 63

Date: 7/27/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/22/2018

Current Firm

COLOMB INVESTMENT MANAGEMENT COMPANY, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLOMB INVESTMENT MANAGEMENT COMPANY, LLC

TRUST BUT VERIFY

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