Kathleen H. Fanelli

UNITED CAPITAL FINANCIAL ADVISORS

WALNUT CREEK, CA 94597

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CRD#: 4628214

Professional summary

Kathleen Hogan Fanelli, CFP®, who also goes by Kathleen Marie Hogan, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Walnut Creek, California.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Kathleen has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen Marie Hogan

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) - RIA

Click below to view Kathleen Hogan Fanelli's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2013

Experience

Current

September 15, 2008 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 1350 Treat Blvd Ste 340, Walnut Creek, CA 94597

RIA

CRD#: 134600

WALNUT CREEK, CA

Past

September 4, 2020 - November 16, 2023

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

WALNUT CREEK, CA

Past

September 4, 2020 - November 16, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

SAN FRANCISCO, CA

Past

November 1, 2017 - July 15, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

Danville, CA

Past

November 1, 2017 - July 1, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

Danville, CA

Past

December 2, 2015 - November 1, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

WALNUT CREEK, CA

Past

September 12, 2008 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

WALNUT CREEK, CA

Past

March 22, 2004 - September 18, 2008

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

SAN FRANCISCO, CA

Past

March 22, 2004 - September 18, 2008

OPPENHEIMER & CO. INC.

CRD#: 249

SAN FRANCISCO, CA

Past

February 21, 2003 - March 4, 2004

STONE & YOUNGBERG LLC

CRD#: 795

SAN FRANCISCO, CA

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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
(9/15/2008)

IAR

Rhode Island
(5/30/2019)

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 66

Date: 3/6/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/2003

General Securities Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Kathleen H. Fanelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Hogan Fanelli's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

STONE & YOUNGBERG LLC

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/6/2003

SIE

Date: 10/1/2018

Series 7

Date: 2/19/2003

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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