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KS

Kathie R. Spotts

Some features on this profile are disabled
CRD#: 4886773
KS

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.

Kathie R Spotts was a registered financial professional .

Kathie is a previously registered financial professional and started their career in finance in 2010. Kathie had worked at 1 firm and has passed the Series 63, Series 6 and Series 11 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 13, 2010 - March 13, 2014

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

BD
CRD#: 18487
STATE COLLEGE, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 8/6/2011
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 11
Date: 9/10/2010
Assistant Representative-Order Processing Qualification Exam

Current Firm

AP
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | TRIAD FINANCIAL INC. | TRIAD FINANCIAL GROUP | TRIAD FINANCIAL

CRD#: 18487 / SEC#: , 8-37085

BD
Terminated by SEC on 12/14/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 04/27/1990
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
AMERICAN PORTFOLIOS HOLDINGS, INC.100% SHAREHOLDER
CORNICK, GREGORY ALLENDIRECTOR3132991
DOLBER, LON TERRYDIRECTOR862635
DOLBER, LON TERRYCEO & PRESIDENT862635
HAMMOND, DORI JAMILLECHIEF COMPLIANCE OFFICER3259012
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMDIRECTOR2627931
SCHLUETER, MATTHEW ADAMEVP2627931
SCHMIDT, DAVID MARTINFINANCIAL & OPERATIONS PRINCIPAL5675524

Disclosures

Regulatory Event7
Arbitration1

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

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

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