KS
Katherine M. Schaffer
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CRD#: 4314286
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 Margaret Schaffer, who also goes by Katherine Margaret Brown, Katie Schaffer, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2000. Katherine had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katherine Margaret Brown | Katie Schaffer
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) 9/3/2019 - Tax Prep/Accounting/CPA - Erickson, Brown & Kloster, P.C. - Investment Related - Colorado Springs, CO
2) 9/3/2019 - Notary - Katherine Schaffer - Investment Related - Colorado Springs, CO
3) 9/3/2019 - Business Owner - CF&O, LLC - Investment Related - 4565 Hilton Parkway, Colorado Springs, CO 80907
4) 9/3/2019 - Act in a Fiduciary Capacity - Maureen M. Struckmann Trust - Investment Related - Colorado Springs, CO
5) 9/3/2019 - Business Entity - EBK Wealth Advisors LLC - Investment Related - Colorado Springs, CO
6) 9/3/2019 - Real Estate Rental - Hilton Building, LLC - Investment Related - 4565 Hilton Parkway, Colorado Springs, CO 80907
7) 9/3/2019 - DBA for LPL Business (entity for LPL business) - I.M. WEALTH CARE, LLC - Investment Related - Colorado Springs, CO
8) 9/3/2019 - Third Party Administrator (TPA) - ERICKSON, BROWN & KLOSTER, P.C. - Investment Related - Colorado Springs, CO
9) 10/4/2019 - MERIT FINANCIAL GROUP LLC - DBA: (Hybrid) I.M. WEALTH CARE, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 01/11/2017 - 0 Hours Per Month.
10) 10/4/2019 - Merit Financial Group LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR/Limited Securities Professional - Started 09/03/2019 - 0 Hours Per Month - I provide investment advisory services through Merit Financial Group LLC, an independent investment advisor firm. I started this business activity in 9/2019. I expect to spend approximately 0 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
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®
NoneExperience
Past
September 3, 2019 - April 11, 2024
MERIT FINANCIAL ADVISORS
RIA
CRD#: 142457
Colorado Springs, CO
Past
September 3, 2019 - April 22, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
COLORADO SPRINGS, CO
Past
October 12, 2018 - April 19, 2022
I.M. FINANCIAL, LLC
RIA
CRD#: 135632
Colorado Springs, CO
Past
July 5, 2018 - September 4, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
Colorado Springs, CO
Past
February 9, 2017 - September 4, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
Colorado Springs, CO
Past
December 12, 2000 - September 23, 2002
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
MERIT FINANCIAL ADVISORS
ALLEGIANCE ADVANTAGE GROUP | WORKSITE FINANCIAL WELLNESS | WEALTH REALM | UNION FINANCIAL ADVISORS | THE RETIREMENT COACH | THE MERIT RETIREMENT ADVANTAGE | THE FAMILY HUG | SIMPLIFIED FINANCIAL | SHARP ADVISORS | SAFEGUARD WEALTH MANAGEMENT | REASON FINANCIAL | PRICE FINANCIAL GROUP | PIONEER FINANCIAL | NEXTSTAGE CONSULTING | MERSBERGER FINANCIAL GROUP | MERIT WEALTH ADVISORS | MERIT FINANCIAL INC | MERIT FINANCIAL GROUP, LLC | MERIT FINANCIAL ADVISORS LLC | MERIT FINANCIAL ADVISORS | MERIT 401(K) MAXIMIZER | MERIT | KIRSCH & ASSOCIATES | KING FINANCIAL PARTNERS | INDEPENDENT ADVISOR PARTNERS | GUIDED CAPITAL WEALTH MANAGEMENT | GLOBAL WEALTH ADVISORS | FINANCIAL DEVELOPMENT SYSTEMS | FIDUCIARY SERVICES | CPA RETIREMENT NETWORK | CONSILIUM FINANCIAL GROUP | CONSILIUM ASSOCIATES | BOTSFORD PRIVATE WEALTH | BOTSFORD FINANCIAL GROUP | BOTSFORD FINANCIAL | BLUHAWK WEALTH MANAGEMENT | BAUTZ FAMILY FINANCIAL | ALLEGIANCE RETIREMENT SOLUTIONS | ALLEGIANCE FINANCIAL STRATEGIES GROUP
CRD#: 142457 / SEC#: 801-67462
RIA
Registered Investment Advisory firm - (1/31/2007 Approved)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
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MERIT FINANCIAL ADVISORS
ALLEGIANCE ADVANTAGE GROUP | WORKSITE FINANCIAL WELLNESS | WEALTH REALM | UNION FINANCIAL ADVISORS | THE RETIREMENT COACH | THE MERIT RETIREMENT ADVANTAGE | THE FAMILY HUG | SIMPLIFIED FINANCIAL | SHARP ADVISORS | SAFEGUARD WEALTH MANAGEMENT | REASON FINANCIAL | PRICE FINANCIAL GROUP | PIONEER FINANCIAL | NEXTSTAGE CONSULTING | MERSBERGER FINANCIAL GROUP | MERIT WEALTH ADVISORS | MERIT FINANCIAL INC | MERIT FINANCIAL GROUP, LLC | MERIT FINANCIAL ADVISORS LLC | MERIT FINANCIAL ADVISORS | MERIT 401(K) MAXIMIZER | MERIT | KIRSCH & ASSOCIATES | KING FINANCIAL PARTNERS | INDEPENDENT ADVISOR PARTNERS | GUIDED CAPITAL WEALTH MANAGEMENT | GLOBAL WEALTH ADVISORS | FINANCIAL DEVELOPMENT SYSTEMS | FIDUCIARY SERVICES | CPA RETIREMENT NETWORK | CONSILIUM FINANCIAL GROUP | CONSILIUM ASSOCIATES | BOTSFORD PRIVATE WEALTH | BOTSFORD FINANCIAL GROUP | BOTSFORD FINANCIAL | BLUHAWK WEALTH MANAGEMENT | BAUTZ FAMILY FINANCIAL | ALLEGIANCE RETIREMENT SOLUTIONS | ALLEGIANCE FINANCIAL STRATEGIES GROUP
CRD#: 142457 / SEC#: 801-67462
RIA
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Contact information
Main Address
2400 Lakeview Parkway Suite 550, Alpharetta, GA 30009
Mailing Address
Phone number
(678) 867-7050
Established
Firm type
Fiscal year end
# of Employees
279
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31,882 |
| AUM (Assets Under Management) | $ 10,576,048,244 |
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.
