Kathryn A. Starbuck

ADVENT CAPITAL LLC

Roseville, CA 95678

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CRD#: 4494337

Professional summary

Kathryn Anne Starbuck, who also goes by Kathryn Anne Olander, is a registered financial advisor currently at ADVENT CAPITAL LLC located in Roseville, California.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Kathryn has worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathryn Anne Olander

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.

Kathryn Starbuck is individually licensed to act as a Life/Health Insurance agent in California since 2001. This business is conducted outside of Advent Capital LLC. Kathryn Anne Starbuck is a licensed insurance agent. From time to time, she may offer clients advice or products from those activities. Clients should be aware that these services pay a commission and involve a conflict of interest, as commissionable products conflict with the fiduciary duties of a RIA. Clients are in no way required to implement the plan through any representative of Advent Capital LLC in such individual's capacity as an insurance agent. This business is typically conducted outside of regular trading hours. She also serves as a volunteer Trustee of Lutheran Church of the Resurrection endowment committee. Time spent on this activity generally is outside of trading hours. She has served as a Trustee since 2017. This is a charitable, religious organization and Kathryn is a non-paid volunteer.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Anne Starbuck's 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

July 23, 2014 - Present

ADVENT CAPITAL LLC

Office #1: 915 Highland Pointe, Suite 250, Roseville, CA 95678Office #2: 915 Highland Pointe Dr, Ste 250, Roseville, CA 95678

RIA

CRD#: 165348

Roseville, CA

Past

May 23, 2007 - July 20, 2012

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

AUBURN, CA

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

California
(7/23/2014)

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 65

Date: 7/22/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/19/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/27/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/21/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ADVENT CAPITAL LLC

ADVENT CAPITAL LLC | MERGUPS, MIKUS

CRD#: 165348 / SEC#:

California

Registered Investment Advisory firm - (5/30/2013 Approved)

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Contact information

Main Address

915 Highland Pointe, Suite 250, Roseville, CA 95678

Mailing Address

Phone number

(916) 384-8060

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 56,146,317

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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Kathryn A. Starbuck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Anne Starbuck's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVENT CAPITAL LLC

U.S. BANCORP INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/22/2014

Series 63

Date: 3/19/2007

Series 7

Date: 8/27/2010

Series 6

Date: 5/21/2007

Current Firm

ADVENT CAPITAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADVENT CAPITAL LLC

TRUST BUT VERIFY

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