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Kathryn Lorraine Noel

Kathryn L. Noel

ACCESS FINANCIAL SERVICES
Minneapolis, MN 55431
Some features on this profile are disabled
CRD#: 4781032
Kathryn Lorraine Noel

Professional summary

Kathryn Lorraine Noel, CFP®, ChFC®, CLU®, who also goes by Kathryn Lorraine Kairies, Kathryn Kairies, is a registered financial advisor currently at ACCESS FINANCIAL SERVICES, INC. located in Minneapolis, Minnesota.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Kathryn has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathryn Lorraine Kairies | Kathryn Kairies

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.
1) NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY, INVESTMENT RELATED, 1650 W 82ND ST STE 850, MINNEAPOLIS MN 55431, AGENT, START DATE:06/2007, 80 HRS/MTH., 60 HRS. DURING ST HOURS, SELL FIXED LIFE, HEALTH INSURANCE 2) ACCESS FINANCIAL SERVICES - INDEPENDENT RIA, INVESTMENT RELATED, 1650 W 82ND ST STE 850, MINNEAPOLIS MN 55431, INVESTMENT ADVISOR REPRESENTATIVE, START DATE:05/2008, 100 HRS/MTH., 60 HRS. DURING ST HOURS, PROVIDE INVESTMENT ADVISORY AND FINANCIAL PLANNING SERVICES 3) NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, INVESTMENT RELATED, SUITE 300 611 E. WISCONSIN AVE MILWAUKEE, WI 53202, REGISTERED REPRESENTATIVE, START DATE:02/28/2007, 20 HRS/MTH., 10 HRS. DURING ST HOURS, SELL AND SERVICE VARIABLE LIFE INSURANCE AND ANNUITIES 4) FSC CORPORATION RIA, INVESTMENT RELATED, 1650 W 82ND ST STE 850, MINNEAPOLIS MN 55431, STATUTORY AGENT, START DATE:2010, 0 HRS/MTH., 0 HRS. DURING ST HOURS, INVESTMENT ADVISORY SERVICES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Lorraine Noel'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: 2009

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

January 13, 2014 - Present

ACCESS FINANCIAL SERVICES, INC.

Office #1: 1650 West 82nd Street Suite 850, Minneapolis, MN 55431
RIA
CRD#: 115361
Minneapolis, MN
Past

June 2, 2008 - February 4, 2015

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
MINNEAPOLIS, MN
Past

December 10, 2007 - December 10, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MINNEAPOLIS, MN
Past

May 10, 2007 - February 4, 2015

FSC SECURITIES CORPORATION

BD
CRD#: 7461
MINNEAPOLIS, MN

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".
AF
ACCESS FINANCIAL SERVICES, INC.
ACCESS FINANCIAL SERVICES, INC. | ASSESS FINANCIAL SERVICES, INC.

CRD#: 115361 / SEC#: 801-66457

RIA
Registered Investment Advisory firm - (4/24/2006 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
Minnesota
(1/13/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/17/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/18/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/4/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/3/2007
General Securities Representative Examination

Current Firm

AF
ACCESS FINANCIAL SERVICES, INC.
ACCESS FINANCIAL SERVICES, INC. | ASSESS FINANCIAL SERVICES, INC.

CRD#: 115361 / SEC#: 801-66457

RIA
Registered Investment Advisory firm - (4/24/2006 Approved)
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Contact information

Main Address
1650 West 82nd Street Suite 850, Minneapolis, MN 55431
Mailing Address
Phone number
(952) 885-2732
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts824
AUM (Assets Under Management)$ 421,585,223

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.

Company Information

ACCESS FINANCIAL SERVICES, INC.

CRD#: 115361Minneapolis, MN 55431

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