Kathryn L. Dangers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathryn Lynn Dangers, CFP® was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2004. Kathryn had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2022 - June 12, 2023
HIGH NOTE WEALTH, LLC
February 8, 2007 - September 30, 2013
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
February 2, 2007 - October 21, 2013
LPL FINANCIAL LLC
May 20, 2004 - February 8, 2007
SII INVESTMENTS, INC.
Primary Firm SEC Registration
HIGH NOTE WEALTH, LLC
CRD#: 305768 / SEC#: 801-117495
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
HIGH NOTE WEALTH, LLC
CRD#: 305768 / SEC#: 801-117495
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,200 |
| AUM (Assets Under Management) | $ 576,194,815 |
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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