Kathryn E. Kraft

KRAFT FINANCIAL

BLOOMINGTON, IL 61704

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CRD#: 4642260

Professional summary

Kathryn E Kraft, AIF®, CFP®, who also goes by Kathryn E Resh, is a registered financial advisor currently at KRAFT FINANCIAL, LLC located in Bloomington, Illinois.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Kathryn has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathryn E Resh

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.

Insurance Agent; Investment Related: Yes; 2805 Eastern Avenue; Description of the business: Kathryn Kraft is an independent insurance agent.; Responsibilities Duties: Works with clients to assess their needs and find contracts for life insurance and annuities.; Start date with business: 2010-01-07; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 1; Percentage of total yearly compensation expected to be derived from the business: 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn E Kraft'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®

AIF^®

Accredited Investment Fiduciary

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

October 5, 2018 - Present

KRAFT FINANCIAL, LLC

Office #1: 1701 E Empire St. Ste 360, Bloomington, IL 61704

RIA

CRD#: 298875

BLOOMINGTON, IL

Past

June 19, 2009 - October 8, 2018

INVESTMENT ADVISORS CORP

RIA

CRD#: 117531

DAVENPORT, IA

Past

June 19, 2009 - October 8, 2018

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

DAVENPORT, IA

Past

June 24, 2003 - June 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DAVENPORT, IA

Past

May 16, 2003 - June 4, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

DAVENPORT, IA

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

Illinois
(10/31/2018)

IAR

Iowa
(10/5/2018)

IAR

Texas
(10/16/2018)

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: 6/4/2003

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: 5/14/2003

General Securities Representative Examination

Current Firm

KRAFT FINANCIAL, LLC

CRD#: 298875 / SEC#:

Illinois

Registered Investment Advisory firm - (10/31/2018 Approved)

Iowa

Registered Investment Advisory firm - (10/3/2018 Approved)

Missouri

Registered Investment Advisory firm - (4/15/2024 Terminated)

Texas

Registered Investment Advisory firm - (10/15/2018 Conditional Restricted)

Virginia

Registered Investment Advisory firm - (4/22/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1701 E Empire St. Ste 360, Bloomington, IL 61704

Mailing Address

Phone number

(314) 464-4568

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	35
AUM (Assets Under Management)	$ 36,041,340

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 E. Kraft

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn E Kraft's CRS (Customer Relationship Summary).

Certified licenses

Experience

KRAFT FINANCIAL, LLC

INVESTMENT ADVISORS CORP

BROKER DEALER FINANCIAL SERVICES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 6/4/2003

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2003

Current Firm

KRAFT FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KRAFT FINANCIAL, LLC

TRUST BUT VERIFY

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