KM
Kimberlee A. Mott
CETERA INVESTMENT ADVISERS LLC
Atlanta, GA 30339
Some features on this profile are disabled
CRD#: 4990540
KM
Professional summary
Kimberlee Ann Mott, who also goes by Kimberlee Ann Kubski, Kimberlee Mott, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Atlanta, Georgia and CETERA INVESTMENT SERVICES LLC located in St Cloud, Minnesota.
Kimberlee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Kimberlee has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kimberlee Ann Kubski | Kimberlee Mott
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) PACK FINANCIAL LLC, DBA FOR CETERA INVESTORS TEAM, 30% OWNER, 40/HRS/WK
CRS (Client Relationship Summary) - RIA
Click below to view Kimberlee Ann Mott'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®
NoneExperience
Current
June 20, 2019 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339Office #2: 201 E. Main St Suite 520, Lexington, KY 40507RIA
CRD#: 105644
Atlanta, GA
Current
June 20, 2019 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 400 1st St S Ste 300, St Cloud, MN 56301Office #2: 201 E. Main St Suite 520, Lexington, KY 40507Office #3: 2300 Windy Ridge Parkway Suite 150-s, Atlanta, GA 30339BD
CRD#: 15340
St Cloud, MN
Past
October 2, 2012 - June 25, 2019
FORESTERS ADVISORY SERVICES, LLC
RIA
CRD#: 164663
ATLANTA, GA
Past
July 11, 2005 - June 25, 2019
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
ATLANTA, GA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Alabama(6/21/2019)
RR
Alaska(5/8/2020)
RR
Arizona(6/21/2019)
RR
Arkansas(6/21/2019)
RR
California(6/21/2019)
RR
Colorado(5/8/2020)
RR
Connecticut(5/8/2020)
RR
Delaware(5/8/2020)
RR
District of Columbia(6/21/2019)
RR
Florida(6/21/2019)
IAR
Georgia(6/20/2019)
RR
Georgia(6/21/2019)
RR
Hawaii(5/8/2020)
RR
Idaho(5/8/2020)
RR
Illinois(6/21/2019)
RR
Indiana(6/21/2019)
RR
Iowa(5/8/2020)
RR
Kansas(5/8/2020)
RR
Kentucky(6/21/2019)
IAR
Kentucky(1/7/2022)
RR
Louisiana(6/21/2019)
RR
Maine(5/8/2020)
RR
Maryland(6/21/2019)
RR
Massachusetts(5/8/2020)
RR
Michigan(6/21/2019)
RR
Minnesota(5/8/2020)
RR
Mississippi(6/21/2019)
RR
Missouri(6/21/2019)
RR
Montana(5/8/2020)
RR
Nebraska(5/8/2020)
RR
Nevada(5/8/2020)
RR
New Hampshire(5/8/2020)
RR
New Jersey(5/8/2020)
RR
New Mexico(5/8/2020)
RR
New York(6/21/2019)
RR
North Carolina(6/21/2019)
RR
North Dakota(5/8/2020)
RR
Ohio(6/21/2019)
RR
Oklahoma(5/8/2020)
RR
Oregon(5/8/2020)
RR
Pennsylvania(6/21/2019)
RR
Puerto Rico(5/8/2020)
RR
South Carolina(6/21/2019)
RR
South Dakota(5/8/2020)
RR
Tennessee(6/21/2019)
RR
Texas(6/21/2019)
IAR
Texas(1/18/2023)
RR
Utah(5/8/2020)
RR
Vermont(5/8/2020)
RR
Virgin Islands(5/8/2020)
RR
Virginia(6/21/2019)
RR
Washington(5/8/2020)
RR
West Virginia(6/21/2019)
RR
Wisconsin(5/8/2020)
RR
Wyoming(5/8/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
