Katherine H. Stupak
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.
Katherine Hofmann Stupak, who also goes by Katherine Hofmann Corballis, Katherine Corballis Mrs., Katherine Mary Hofmann Ms., Katherine Mary Hofmann, Katherine H Saloomey Mrs., Katherine Hofman Stupak, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2005. Katherine had worked at 6 firms and has passed the Series 66, Series 6TO, SIE 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
January 2, 2020 - October 20, 2022
KESTRA ADVISORY SERVICES, LLC
January 2, 2020 - October 20, 2022
KESTRA INVESTMENT SERVICES, LLC
June 5, 2014 - December 31, 2019
COMMONWEALTH FINANCIAL NETWORK
June 5, 2014 - December 31, 2019
COMMONWEALTH FINANCIAL NETWORK
June 1, 2009 - June 9, 2014
MORGAN STANLEY
June 1, 2009 - June 9, 2014
MORGAN STANLEY
February 24, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 11, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 26, 2005 - October 4, 2007
A. G. EDWARDS & SONS, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
