KA
Kathleen E. Apodaca
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CRD#: 4525970
KA
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.
Kathleen Elizabeth Apodaca, who also goes by Kathleen E. Boaen, Kathleen E. Higgins, Kathleen E. Larson, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2002. Kathleen had worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 9, Series 10 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathleen E. Boaen | Kathleen E. Higgins | Kathleen E. Larson
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.
**YMCA OF NEW MEXICO EDUCATOR; ALBUQUERQUE, NM; NON-INVESTMENT RELATED; EMPLOYEE; START DATE 06/01/2011; 8 HOURS PER MONTH; 8 HOURS DURING TRADING; GROUP EXERCISE INSTRUCTOR. **QNA EDUCATOR; ALBUQUERQUE, NM; NON-INVESTMENT RELATED; OWNER; START DATE 07/01/2013; 1/2 HOURS PER MONTH; 0 HOURS DURING TRADING; CONDUCT INSURANCE LICENSE EXAM REVIEW CLASSES; CONDUCT SERIES 6/63 EXAM REVIEW CLASSES; CONDUCT GROUP EXERCISE CLASSES. **THIRD PARTY VOTER REGISTRATION AGENT POSITION: Voter Registration Agent NATURE: Third Party Voter Registration Agent in the State of New Mexico. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/06/2019 ADDRESS: 513 Douglas MacArthur Rd NW, Albuquerque NM 87107 DESCRIPTION: As a Voter Registration Agent I will assist person(s) in the completion of a Voter Registration application. **SECURITIES AMERICA ADVISORS POSITION: Supervision Department NATURE: SECURITIES AMERICA ADVISORS-IAR-INVESTMENT ADVISORY-INVESTMENT RELATED-START DATE 12/2016 LOCATED AT 513 Douglas MacArthur Rd NW, Albuquerque, NM 87107 INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2016 ADDRESS: 513 Douglas MacArthur Rd NW, Albuquerque NM 87107 DESCRIPTION: Home Office Employee, Investment Advisory registration **COUNTY ELECTION CHALLENGER POSITION: poll challenger NATURE: Bernalillo County (New Mexico) Election Challenger appointed by the County Chair for the Republican Party of New Mexico INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 05/23/2020 ADDRESS: 5150 San Francisco Rd NE #A, Albuquerque NM 87109 DESCRIPTION: A poll challenger interposes challenges at any time from the time the precinct board convenes at the polling place until the completion of the precinct board's duties after the polls close. **SECRETARY FOR THE NEW MEXICO REPUBLICAN PARTY STATE CENTRAL COMMITTEE AND EXECUTIVE COMMITTEE POSITION: Secretary for the New Mexico Republican Party State Central Committee and Executive Committee NATURE: Secretary for the New Mexico Republican Party State Central Committee and the New Mexico Republican Party Executive Committee INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 5150 San Francisco Rd NE, Suite A, Albuquerque NM 87109 DESCRIPTION: The secretary of the State Central Committee shall carefully preserve all of the minutes of the meetings of the State Central Committee and those of the State Executive Committee, and shall perform all duties that may be required by such committees. Ad Hoc Duties up to and including: Distribute and publish on the state website Notice of call(s) for the State Central Committee. Certify with the New Mexico Secretary of State (along with the Chairman) nominations of candidates for public office. Certify and file with the New Mexico Secretary of State (along with the Chairman) the candidate selected by the State Central Committee to fill a vacancy. File Amendment(s) to the Uniform State Rules (along with the state chairman) with the New Mexico Secretary of State, the county clerk of each county in the state, and the county chairman in each county in the state.
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
May 4, 2021 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
May 4, 2021 - September 30, 2023
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
May 4, 2021 - September 30, 2023
TRIAD ADVISORS LLC
BD
CRD#: 25803
ATLANTA, GA
Past
May 4, 2021 - September 30, 2023
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
May 4, 2021 - September 30, 2023
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
December 14, 2016 - September 30, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
ALBUQUERQUE, NM
Past
December 8, 2016 - September 30, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
April 8, 2015 - December 31, 2016
FOOTHILL SECURITIES, INC.
RIA
CRD#: 1027
ALBUQUERQUE, NM
Past
April 6, 2015 - December 8, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
ALBUQUERQUE, NM
Past
November 29, 2005 - March 23, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
PHOENIX, AZ
Past
June 6, 2003 - March 23, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
PHOENIX, AZ
Past
June 6, 2002 - January 3, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
WESTLAKE VILLAGE, CA
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
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
OS
OSAIC SERVICES, INC.
1ST PALMETTO ADVISORS | PILLAR FINANCIAL GROUP | PETER GOODWIN PERSONAL WEALTH MANAGEMENT | PEGASUS FINANCIAL GROUP | PARKE AVENUE INVESTMENTS | PARK AVENUE INVESTMENTS, WEALTH STRATEGIES | PANTO WEALTH STRATEGIES | PALFINI FINANCIAL | OSAIC SERVICES, INC. | OREGON PLANNERS | OAKLEAF CAPITAL PARTNERS | OAK FINANCIAL ADVISORS | NORTHSTAR ASSOCIATES | NORTH MAIN FINANCIAL GROUP | NORLAKES FINANCIAL SERVICES | NEST FINANCIAL | NBS FINANCIAL GROUP | NAVIGATOR FINANCIAL GROUP | NACCARATO FINANCIAL GROUP | MYERS & INKROTT FINANCIAL GROUP | MY WEALTH DOCTOR | MSL CAPITAL MANAGEMENT | MOSAIC WEALTH SOLUTIONS | MONARCH WEALTH AND RETIREMENT STRATEGIES | MONARCH WEALTH & RETIREMENT STRATEGIES | MIDAMERICA FINANCIAL GROUP | MARK S LALIN AND ASSOCIATES | MANDY MONEY | MAIN STREET ADVISORS | M.R. MILLER FINANCIAL | LUTZ WEALTH ADVISORS | LUCERO FINANCIAL PLANNING | LIVING TREE FINANCIAL CONSULTING | LINEBERRY GROUP | LIFELONG FINANCIAL PLANNING | LIFECRAFT FINANCIAL GROUP | LIBERTY FINANCIAL ASSOCIATES | LEWIS AND PALMER FINANCIAL SOLUTIONS GROUP | LEGACY FINANCIAL PLANNING | LEGACY FINANCIAL ADVISORS, INC. | LEGACY FINANCIAL ADVISORS | LAWRENCE WEALTH MANAGEMENT | LACHICOTTE, INC. | KRAUSE INVESTMENT ADVISORY GROUP, LLC - PAUL R. KRAUSE | KND FINANCIAL | KARP FINANCIAL STRATEGIES | JSTEPHENS WEALTH MANAGEMENT | JP GLOBAL FINANCIAL SERVICES | JAMES C. PROTIGAL | J.S. HOLLAND & CO., INC | ISYS FINANCIAL MANAGEMENT | IQON WEALTH MANAGEMENT | INVESTONE RETIREMENT SPECIALISTS | INVESTMENT CONCEPTS, INC. | INTEGRATED RETIREMENT CONCEPTS | INTEGRATED FINANCIAL CONCEPTS | INKROTT FINANCIAL SERVICES | INKROTT FINANCIAL GROUP | INCOME AND WEALTH ADVISORS AND ASSOCIATES | IMPAC WEALTH SOLUTIONS | ICM HOLISTIC WEALTH SERVICES | HOMANS WEALTH MANAGEMENT | HILL FINANCIAL GROUP | HILL & ASSOCIATES | HIGH POINT CAPITAL PARTNERS | HIGH POINT CAPITAL GROUP | HEYMAN INVESTMENT INC | HERITAGE INVESTMENTS HINDE ASSET MANAGEMENT | HEIGHTS FINANCIAL | HEDBERG WEALTH MANAGEMENT | HAVEN FINANCIAL GROUP | HARMONY FINANCIAL SERVICES | HARMAN WEALTH MANAGEMENT INC | HALE FINANCIAL PLANNING GROUP | GUARDIAN ROCK WEALTH | GRUCZ FINANCIAL | GREENVILLE FINANCIAL GROUP | GRAY HAWK FINANCIAL SERVICES | GRANITE VISTA FINANCIAL | GMBP WEALTH MANAGEMENT | GLOBAL CAPITAL MANAGEMENT | GIGUERE FINANCIAL SERVICES | GEN2 FINANCIAL | FOREST HILLS WEALTH | FOCUS POINT PLANNING | FOCAL POINT FINANCIAL | FLATHERS WEALTH MANAGEMENT | FISCHER CHRISTOFF BARTMESS ADVISORS | FINANCIAL POINTE | FINANCIAL FREEDOM GROUP | FIDUCIARY FIRST | EXCELSIOR WEALTH PARTNERS | EVERGREEN WEALTH MANAGEMENT | ESTATE & FINANCIAL CONSULTANTS | ESCOBAR FINANCIAL | EMERALD FINANCIAL ADVISORS | EAGLE RETIREMENT GROUP | DORAL ASSET MANAGERS INC. | DOMINION EAGLE ADVISOR GROUP | DICOLA FINANCIAL SERVICES MKT NAME | DAVIS FINANCIAL GROUP | DAKOTA LEGACY FINANCIAL | CURTIN WEALTH MANAGEMENT | CURRENT FINANCIAL | COVENANT CAPITAL ADVISORS | COMPREHENSIVE FINANCIAL SERVICES | COMMON INTERESTS | COMMON GOAL FINANCIAL | COLE FINANCIAL | COFFMAN WEALTH MANAGEMENT | CODA FINANCIAL GROUP, INC. | CFS INTEGRATED FINANCIAL SERVICES | CFS ADVISOR TEAM | CATAMOUNT WEALTH ADVISORY | CARMICHAEL FINANCIAL ADVISORS | CAMPER FINANCIAL GROUP | BRAZIER HINZ & ASSOCIATES | BICE WEALTH MANAGEMENT | BGA RETIREMENT ADVISORS | BGA FINANCIAL | BETANCOURT FINANCIAL SERVICES | BCF WEALTH STRATEGIES | BAXTER & ASSOCIATES, INC. | BAUMOEL & GOODMAN FINANCIAL STRATEGIES | BALTHAZOR & STRUBE FINANCIAL & INSURANCE SERVICES | BAKER STREET FINANCIAL SERVICES, LLC | B.E.S. FINANCIAL | AUSTIN MANNING WEALTH MANAGEMENT | ASTOR FINANCIAL GROUP | ASSET WEALTH MANAGEMENT SERVICES, INC. | ASSET PLANNING & MANAGEMENT | ARUCA FINANCIAL | ANGELA MARTIN FINANCIAL | ANCHOR WEALTH MANAGEMENT INC. | AMS FINANCIAL GROUP | AMERIFLEX FINANCIAL SERVICES | AMERIFLEX | AMERICAN WEALTH STRATEGY GROUP | AMERICAN FINANCIAL ASSOCIATES | ALPHA RISING WEALTH MANAGEMENT | ALPHA ADVISING | ALLIED WEALTH MANAGEMENT LLC | ALL-WEATHER WEALTH MANAGEMENT | ALL SEASONS ALPHA WEALTH MANAGEMENT | AIG FINANCIAL ADVISORS, INC. | ADVENT FINANCIAL SERVICES | AD ASTRA FINANCIAL GROUP | A. RANDALL FINANCIAL | A. M. HOERR FINANCIAL...
CRD#: 133763 / SEC#: 801-64721, 8-66771
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
18700 Hayden Road Suite 2000, Phoenix, AZ 85012
Mailing Address
18700 Hayden Road Suite 255, Scottsdale, AZ 85255
Phone number
(800) 552-3319
Established
Delaware since 09/10/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
3,563
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 86,848 |
| AUM (Assets Under Management) | $ 16,478,907,740 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 11 |
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.
