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KS

Katherine J. Schoeff

Some features on this profile are disabled
CRD#: 4310907
KS

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 Jeanne Schoeff, who also goes by Katherine Jeanne Mongeon, Katherine Jeanne-mongeon Schoeff, was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 2000. Katherine had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katherine Jeanne Mongeon | Katherine Jeanne-Mongeon Schoeff

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.

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

October 21, 2014 - September 21, 2015

WEALTHSPIRE RETIREMENT ADVISORY

RIA
CRD#: 121254
BRENTWOOD, TN
Past

September 22, 2014 - October 3, 2014

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
BRENTWOOD, TN
Past

September 22, 2014 - September 24, 2015

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
BRENTWOOD, TN
Past

January 3, 2011 - September 2, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
NASHVILLE, TN
Past

January 3, 2011 - September 2, 2014

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
NASHVILLE, TN
Past

April 23, 2009 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

RIA
CRD#: 34815
NASHVILLE, TN
Past

April 16, 2009 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
NASHVILLE, TN
Past

February 1, 2007 - April 30, 2009

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
BRENTWOOD, TN
Past

December 19, 2006 - April 30, 2009

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
BRENTWOOD, TN
Past

March 29, 2005 - January 8, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
FRANKLIN, TN
Past

March 8, 2005 - January 8, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
FRANKLIN, TN
Past

December 11, 2000 - January 3, 2005

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, 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".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/28/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/14/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/24/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/7/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/9/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/14/2008
General Securities Principal Examination

Current Firm

WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.

CRD#: 121254 / SEC#: 801-66107

RIA
Registered Investment Advisory firm - (1/31/2006 Approved)
California
Registered Investment Advisory firm - (2/9/2006 Terminated)
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Contact information

Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts9,394
AUM (Assets Under Management)$ 118,031,461,765

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

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254

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