KB
Katie C. Buck
BUCK WEALTH STRATEGIES
Honolulu, HI 96813
Some features on this profile are disabled
CRD#: 4884942
KB
Professional summary
Katie Christine Buck, AIF®, who also goes by Katie Christine Buck Mrs., Katie Christine Tusa Ms., is a registered financial advisor currently at BUCK WEALTH STRATEGIES, LLC located in Honolulu, Hawaii and MADISON AVENUE SECURITIES, LLC located in Denver, Colorado.
Katie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Katie has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Christine Buck Mrs. | Katie Christine Tusa Ms.
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.) NAME: E.A. Buck Insurance DBA E.A. Buck Financial Services ; INV RELATED: YES; ADDRESS: 55 MERCHANT STREET, SUITE 2100 HONOLULU, HI 96813; NATURE: INSURANCE SALES; POSITION:CEO; START DATE: 2004; HOURS/MONTH: 160; TRADING HOURS/MONTH: 160; DUTIES: CEO OF EA BUCK 2.) NAME: MADISON AVENUE SECURITIES, LLC; YES INVESTMENT RELATED; 13500 EVENING CREEK DR. N. SUITE 555, SAN DIEGO, CA 92128; BROKER DEALER; REGISTERED REPRESENTATIVE; START DATE 12/2019; APPROX 160 HRS/MONTH; APPROX 160 HRS/MONTH DURING TRADING; SECURITIES SALES AND SERVICES. 3.) NAME: SEVEN PEAKS LLC; INV RELATED: NO; NATURE:LLC SET UP FOR RENTAL PROPERTY INCOME; POSITION: RENTAL PROPERTY START DATE: 2015, CHANGED NAME TO SEVEN PEAKS LLC JANURARY 2021; HOURS/MONTH: 4; TRADING HOURS/MONTH: NO; DUTIES: PERSONAL RENTAL PROPERTY. 4.) NAME: EA BUCK ACCOUNTING AND TAX SERVICES LLC: INV RELATED: NO; NATURE:TAX SERVICES; POSITION OWNER: START DATE: JANUARY 2021: HOURS/MONTH: 40: HOURS DURING TRADING: 40: PROVIDING TAX 5.) Buck Enterprises LLC: Yes Investment Related; 55 Merchant St Suite 2100, Honolulu HI, 96813; Chairperson and CEO; State Date 11/21/2020; 0 Hours a Month; 0 Hours during trading; holding company for consolidated tax returns. 6.) LTC Pro LLC DBA Federal Benefits Made Simple; Yes Investment Related; 1 Denver Federal Center, Building 45 Entrance E-9, Room 1050, Lakewood CO 80225; Director; Start Date 04/01/2021; 5 Hours a Month; 0 Hours during trading; Investment and Insurance Advisory Business 7.) NAME: THE JEFFREY DAVID BUCK 2020 IRREVOCABLE TRUST ; INV RELATED: NO; NATURE: TRUSTEE; START DATE: 2020 8.)Buck Wealth Strategies: Yes Investment Related; 55 Merchant St Suite 2100, Honolulu HI, 96813; President, Board Chair; State Date: 7/12/2022 and IAR start date 10/2023; 40 Hours a Month; 40 Hours during trading; Registered Investment Adviser engages in asset management services. 9.) Buck Financial Services Outer Banks: Yes Investment Related; 55 Merchant St Suite 2100, Honolulu HI, 96813; Duties: President, Board Chair; State Date 5/2022; <1 Hours a Month; 40 Hours during trading; Nature: Asset management related to a specific book of business. 10.) Buck Charitable Foundation; Investment Related: No; Position: Board Member; Hours Per Week: 0 Hours; Start Date: 1/1/2024
CRS (Client Relationship Summary) - RIA
Click below to view Katie Christine Buck'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®
Experience
Current
October 23, 2023 - Present
BUCK WEALTH STRATEGIES, LLC
Office #1: 55 Merchant St., Suite 2100, Honolulu, HI 96813RIA
CRD#: 322138
Honolulu, HI
Current
December 3, 2019 - Present
MADISON AVENUE SECURITIES, LLC
Office #1: 4600 S. Syracuse Suite 650, Denver, CO 80237Office #2: 55 Merchant Street Suite 2100, Honolulu, HI 96813Office #3: 11120 Ne 2nd Street, Suite 120, Bellevue, WA 98004Office #4: 481 Quantum Road Ne, Rio Rancho, NM 87124Office #5: 5039-5 Main St., Shallotte, NC 28470Office #6: 1001 Kamokila Blvd, Suite 136, Kapolei, HI 96707Office #7: 33 Lono Avenue Suite 310, Kahului, HI 96732RIA
BD
CRD#: 23224
Denver, CO
Past
December 7, 2019 - October 26, 2023
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Honolulu, HI
Past
August 9, 2011 - December 2, 2019
SPC
RIA
CRD#: 110692
HONOLULU, HI
Past
August 9, 2011 - December 2, 2019
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
HONOLULU, HI
Past
January 3, 2007 - August 16, 2011
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
HONOLULU, HI
Past
December 16, 2004 - August 16, 2011
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
HONOLULU, HI
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".
BW
BUCK WEALTH STRATEGIES, LLC
BUCK WEALTH STRATEGIES, LLC | JOHN INGRAHAM, LLC | E. A. BUCK FINANCIAL SERVICES
CRD#: 322138 / SEC#: 801-126075
RIA
Registered Investment Advisory firm - (7/12/2022 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.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
Arizona(1/3/2020)
RR
California(12/4/2019)
RR
Colorado(1/2/2020)
RR
Florida(12/4/2019)
RR
Hawaii(12/20/2019)
IAR
Hawaii(10/23/2023)
RR
Michigan(12/5/2019)
RR
Montana(12/4/2019)
RR
New Mexico(1/9/2020)
RR
New York(12/23/2019)
RR
Oregon(12/5/2019)
RR
Texas(1/6/2020)
IAR
Texas(10/23/2023)
RR
Virginia(1/2/2020)
RR
Washington(12/23/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BUCK WEALTH STRATEGIES, LLC
BUCK WEALTH STRATEGIES, LLC | JOHN INGRAHAM, LLC | E. A. BUCK FINANCIAL SERVICES
CRD#: 322138 / SEC#: 801-126075
RIA
Registered Investment Advisory firm - (7/12/2022 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4600 S. Syracuse Street Suite 650, Denver, CO 80237
Mailing Address
Phone number
(888) 210-6567
Established
Firm type
Fiscal year end
# of Employees
66
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,982 |
| AUM (Assets Under Management) | $ 565,377,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/03/2024 | ||
| 01/26/2024 |
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.
