Kathleen Gilmore
Professional summary
Kathleen Gilmore, CFP®, who also goes by Kathleen Gilmore Capehart, is a registered financial advisor currently at CLIFFORD SWAN INVESTMENT COUNSELORS located in Pasadena, California.
Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kathleen has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Gilmore's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2006
Experience
October 24, 2002 - Present
CLIFFORD SWAN INVESTMENT COUNSELORS
Office #1: 177 E. Colorado Blvd Ste 550, Pasadena, CA 91105-1965Primary Firm SEC Registration
CLIFFORD SWAN INVESTMENT COUNSELORS
CRD#: 108033 / SEC#: 801-56675
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/24/2002)
(12/13/2022)
(1/15/2020)
(2/28/2022)
Current Firm
CLIFFORD SWAN INVESTMENT COUNSELORS
CRD#: 108033 / SEC#: 801-56675
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,522 |
| AUM (Assets Under Management) | $ 4,143,559,319 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 04/15/2024 | ||
| 08/10/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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