KS
Kathleen N. Sanford
RCA WEALTH STRATEGIES LLC
Huntsville, AL
Some features on this profile are disabled
CRD#: 4940092
KS
Professional summary
Kathleen Nina Sanford, AIF®, who also goes by Kathleen N Matysuk, Kathleen Nina Matysuk, Kathy Matysuk, Kathy Sanford, is a registered financial advisor currently at RCA WEALTH STRATEGIES LLC located in Huntsville, Alabama.
Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Kathleen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen N Matysuk | Kathleen Nina Matysuk | Kathy Matysuk | Kathy Sanford
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) 9/17/2021- Legacy Lock. Estate Plan Coordinator. Offering estate planning services for clients. Not investment related. Spends less than 10 hours per month. Kathleen Sanford Position: Agent, Nature: Insurance sales, Investment-related: Yes, Number of Hours: 10, Securities Trading Hours: 3, Address: 4100 Market Street SW, Suite 100, Huntsville, AL 35808 2) FEDERAL BENEFITS INFORMATION CENTER. START DATE: 11/02/2023. NOT INVESTMENT RELATED. 4100 MARKET STREET SW SUITE 100 HUNTSVILLE, AL 35808. HELP FEDERAL EMPLOYEES WITH RETIREMENT PLANNING. POSITION: CHFEBC SM. DUTIES: EDUCATING FEDERAL EMPLOYEES REGARDING RETIREMENT PLANNING. <10 HOURS PER WEEK DURING SECURITIES TRADING HOURS. 3) Kathleen Nina Sanford is an independent producer/Educator for Federal Benefits Information Center - helping active or retiring Federal employees understand their benefits. Commissions for annuities and life insurance choices paid directly from each insurance company to her. 4) Kathleen Nina Sanford is a Sales agent at Legacy Lock; Investment related: No; Location: 1234 S Power Rd ste #101 Mesa Az 85206; Start date: 2022-05-01; Description: Help facilitate clients in Trusts; Responsibilities Duties: Facilitate; 0 Hours per month during trading hours; 0 Hours per month outside trading hours; 1% of total yearly compensation derived from the business. 5) Kathleen Nina Sanford is a Regional Educator and Insurance agent at FBIC; Investment related: No; Location: 9040 Town Center Pkwy Lakewood Ranch Florida 34202; Start date: 2025-06-01; Description: Marketing organization that specializes in educating federal employees on their benefits now and for retirement; Responsibilities Duties: Meeting with federal employees and educating them on how to best use their benefits today and for retirement;16 Hours per month during trading hours; 16 Hours per month outside trading hours; 10% of total yearly compensation derived from the business.
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Nina Sanford'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
June 3, 2024 - Present
RCA WEALTH STRATEGIES LLC
RIA
CRD#: 315915
Huntsville, AL
Past
July 2, 2019 - June 3, 2024
REDHAWK WEALTH ADVISORS, INC.
RIA
CRD#: 146616
HUNTSVILLE, AL
Past
March 25, 2017 - July 3, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
HUNTSVILLE, AL
Past
March 25, 2017 - July 3, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
HUNTSVILLE, AL
Past
July 31, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
HUNTSVILLE, AL
Past
July 31, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HUNTSVILLE, AL
Past
March 14, 2008 - August 6, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
RIA
CRD#: 3641
HUNTSVILLE, AL
Past
April 24, 2007 - August 6, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
HUNTSVILLE, AL
Past
June 3, 2005 - March 22, 2007
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
Alabama(1/10/2025)
IAR
Texas(6/3/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
RW
RCA WEALTH STRATEGIES LLC
RCA WEALTH STRATEGIES LLC
CRD#: 315915 / SEC#:
Alabama
Registered Investment Advisory firm - (1/10/2025 Approved)California
Registered Investment Advisory firm - (5/22/2023 Approved)Kansas
Registered Investment Advisory firm - (10/18/2021 Approved)Louisiana
Registered Investment Advisory firm - (3/25/2024 Approved)Missouri
Registered Investment Advisory firm - (9/13/2021 Approved)Nebraska
Registered Investment Advisory firm - (10/19/2021 Approved)Texas
Registered Investment Advisory firm - (11/4/2021 Conditional Restricted)Wisconsin
Registered Investment Advisory firm - (10/10/2025 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11011 King Street Suite 150, Overland Park, KS 66210
Mailing Address
Phone number
(913) 391-6381
Established
Firm type
Fiscal year end
# of Employees
3
Regulatory assets under management
| Total Number of Accounts | 575 |
| AUM (Assets Under Management) | $ 54,656,000 |
Red Flags
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