KS
Katherine D. Spearman
MADISON AVENUE SECURITIES
Clover, SC 29710
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CRD#: 4803268
KS
Professional summary
Katherine Danette Spearman, who also goes by Katherine Danette Mcconnell, is a registered financial professional currently at MADISON AVENUE SECURITIES, LLC located in Clover, South Carolina.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2014. Katherine has worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Katherine Danette Mcconnell
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.
CRS (Client Relationship Summary) - BD
Click below to view Katherine Danette Spearman'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®
NoneExperience
Current
October 16, 2014 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 1474 Highway 55 East Suite 500, Clover, SC 29710RIA
BD
CRD#: 23224
Clover, SC
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".
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/1/2023)
RR
Arizona(10/8/2025)
RR
Arkansas(1/21/2025)
RR
Florida(11/12/2018)
RR
Georgia(1/21/2020)
RR
Illinois(10/8/2020)
RR
Indiana(11/12/2018)
RR
Nebraska(11/12/2018)
RR
Nevada(5/31/2019)
RR
New Jersey(4/8/2020)
RR
New York(11/12/2018)
RR
North Carolina(11/14/2018)
RR
Oklahoma(5/2/2025)
RR
Rhode Island(4/1/2019)
RR
South Carolina(11/8/2018)
RR
Texas(4/11/2019)
RR
Virginia(11/12/2018)
RR
Wisconsin(8/31/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MA
MADISON AVENUE SECURITIES, LLC
ASHLAND SECURITIES, INC. | MADISON AVENUE SECURITIES, LLC | MADISON AVENUE SECURITIES, INC. | MADISON AVENUE SECURITIES
CRD#: 23224 / SEC#: 801-69919, 8-40426
RIA
Registered Investment Advisory firm - SEC (2/24/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Mailing Address
13500 Evening Creek Dr N #555, San Diego, CA 92128
Phone number
(858) 207-1300
Established
Delaware since 05/05/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
93
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MADISON AVENUE SECURITIES, LLC
CRD#: 23224Clover, SC 29710TRUST BUT VERIFY
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