Kathleen Finn

FINN FINANCIAL ADVISORY GROUP

Washington, DC

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CRD#: 4870394

Professional summary

Kathleen Finn, CFP® is a registered financial advisor currently at FINN FINANCIAL ADVISORY GROUP, INC. located in Washington, District Of Columbia and CATOCTIN RIDGE WEALTH PARTNER located in Washington, District Of Columbia.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Kathleen has worked at 4 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Kathleen Finn, KFINN LLC - Insurance Sales and NOT investment related. Address: 1316 Q St, NW, Washington, DC 20009. Agent for Life Insurance (term and permanent), Fixed Annuities, Disability and Long Term care providing services to individuals. Started 4/2006. Approximately 10 hours per month during trading hours. Duties: Advise clients on new insurance policies and service existing policies. Kathleen Finn, LLC - Tax Preparation and Planning and NOT investment related. Address: 1316 Q St, NW, Washington, DC 20009. Enrolled Agent/ tax preparer. Started 1/2009. Approximately 80 hrs per month during trading hours. Duties: Prepare individual and business tax returns and tax planning services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Finn'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: 2008

Experience

Current

June 6, 2011 - Present

FINN FINANCIAL ADVISORY GROUP, INC.

RIA

CRD#: 157773

Washington, DC

Current

June 13, 2025 - Present

CATOCTIN RIDGE WEALTH PARTNER

Office #1: 1316 Q St Nw, Washington, DC 20009

RIA

CRD#: 333113

Washington, DC

Past

May 4, 2006 - November 3, 2009

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

WASHINGTON, DC

Past

April 5, 2006 - November 3, 2009

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

WASHINGTON, DC

Past

March 7, 2005 - March 8, 2006

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

WASHINGTON, DC

Past

December 8, 2004 - March 8, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

CATOCTIN RIDGE WEALTH PARTNER

BURHON FINANCIAL GROUP | CATOCTIN RIDGE WEALTH PARTNER, LLC | CATOCTIN RIDGE WEALTH PARTNER

CRD#: 333113 / SEC#: 801-131326

RIA

Registered Investment Advisory firm - (10/31/2024 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

District of Columbia
(6/6/2011)

IAR

Maryland
(9/21/2012)

IAR

Virginia
(9/21/2012)

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: 12/21/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/7/2004

General Securities Representative Examination

Current Firm

CATOCTIN RIDGE WEALTH PARTNER

BURHON FINANCIAL GROUP | CATOCTIN RIDGE WEALTH PARTNER, LLC | CATOCTIN RIDGE WEALTH PARTNER

CRD#: 333113 / SEC#: 801-131326

RIA

Registered Investment Advisory firm - (10/31/2024 Approved)

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Contact information

Main Address

209 E Main St., Thurmont, MD 21788

Mailing Address

Phone number

(301) 304-6004

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

CATACTIN RIDGE WEALTH BROCHURE (7/14/2025)

CATOCTIN RIDGE WEALTH PARTNERS WRAP BROCHURE (2/28/2025)

Regulatory assets under management

Total Number of Accounts	706
AUM (Assets Under Management)	$ 102,310,040

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Kathleen Finn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Finn's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINN FINANCIAL ADVISORY GROUP, INC.

CATOCTIN RIDGE WEALTH PARTNER

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CATOCTIN RIDGE WEALTH PARTNER

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2004

Series 7

Date: 12/7/2004

Current Firm

CATOCTIN RIDGE WEALTH PARTNER

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CATOCTIN RIDGE WEALTH PARTNER

TRUST BUT VERIFY

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