Kate T. Ponder

CASTELLAN

Louisville, KY 40223

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CRD#: 4724645

Professional summary

Kate Thall Ponder, who also goes by Kate North Ponder, Kate North Thall, is a registered financial advisor currently at CASTELLAN located in Louisville, Kentucky.

Kate is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kate has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kate North Ponder | Kate North Thall

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 Kate Thall Ponder'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®

None

Experience

Current

September 27, 2022 - Present

CASTELLAN

Office #1: 2011 Lake Point Way Suite 001, Louisville, KY 40223

RIA

CRD#: 299363

Louisville, KY

Past

June 1, 2009 - April 13, 2010

MORGAN STANLEY

RIA

CRD#: 149777

SHORT HILLS, NJ

Past

June 1, 2009 - April 13, 2010

MORGAN STANLEY

CRD#: 149777

SHORT HILLS, NJ

Past

September 11, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SHORT HILLS, NJ

Past

September 11, 2008 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

SHORT HILLS, NJ

Past

July 31, 2007 - September 22, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

FLORHAM PARK, NJ

Past

July 19, 2006 - September 22, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

FLORHAM PARK, NJ

Past

June 13, 2005 - June 22, 2006

W. H. MELL ASSOCIATES, INC.

CRD#: 23635

SUMMIT, NJ

Past

March 15, 2004 - May 20, 2005

WAMU CAPITAL CORP.

CRD#: 119069

SEATTLE, WA

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".

CASTELLAN

CASTELLAN | CASTELLAN GROUP, LLC

CRD#: 299363 / SEC#: 801-119581

RIA

Registered Investment Advisory firm - (10/2/2020 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

Florida
(10/10/2022)

IAR

Kentucky
(9/27/2022)

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: 9/26/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/20/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/13/2004

General Securities Representative Examination

Current Firm

CASTELLAN

CASTELLAN | CASTELLAN GROUP, LLC

CRD#: 299363 / SEC#: 801-119581

RIA

Registered Investment Advisory firm - (10/2/2020 Approved)

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Contact information

Main Address

2011 Lake Point Way Suite 001, Louisville, KY 40223

Mailing Address

Po Box 43847, Louisville, KY 40253

Phone number

(859) 494-0523

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASTELLAN ADV PART 2A&2B (6/17/2025)

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 496,086,621

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/28/2024	Cover Page	Report
04/27/2023	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

Kate T. Ponder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kate Thall Ponder's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

W. H. MELL ASSOCIATES, INC.

WAMU CAPITAL CORP.

Primary Firm SEC Registration

CASTELLAN

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2022

Series 63

Date: 3/20/2004

Series 7

Date: 3/13/2004

Current Firm

CASTELLAN

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CASTELLAN

TRUST BUT VERIFY

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