Katarina Stein
STRATEGIC ADVISERS LLC | Financial Consultant
EDGEWATER, MD
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CRD#: 5124452
Professional summary
Katarina Stein, CFP® is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Edgewater, Maryland and FIDELITY BROKERAGE SERVICES LLC located in Annapolis, Maryland.
Katarina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Katarina has worked at 15 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Biography
I believe that everyone should have a written plan defining what their goals are and how they plan to pursue them. I believe that being proactive and creating a plan in a position of strength, better allows you to navigate stressful situations. As a CERTIFIED FINANCIAL PLANNER™, I am proud to work for Fidelity, a company that provides trusted resources that enable me to align clients' unique goals with the appropriate strategies that keep them in control of their financial plan.
Question & Answer
What are your service offerings?
Health Care
Life Transitions
Elder Care
Retirement Planning
Education Planning
Employee and Employer Plan Ben...
Investment Planning
Estate Planning
Business Succession Planning
Long-term Care
Insurance Planning
Divorce Planning
Comprehensive Financial Planni...
What is your minimum asset requirement?
1
How do you get paid?
Commission and Fee
Are you a "fiduciary"?
Yes
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.
OBA-18043|OrgNmn:Various Yoga Studios in the area|Org Addr:Edgewater,Maryland,US|OBA Nature:Yoga Studios offering yoga cla|Invst Rel:N|Title:Independent Contractor/ Yoga Inst|Duties:I am teaching 2-3 yoga classes and SUP per week and occasionally sub for other instructors|StrtDt:06-01-20|TotHrs/mon:10|TrdHrs/mon:0|OBA-92640|OrgNmn:Edgewater Fitness|Org Addr:Edgewater,Maryland,US|OBA Nature:Fitness Studio|Invst Rel:N|Title:Independent Contractor|Duties:Yoga Instructor|StrtDt:|TotHrs/mon:2|TrdHrs/mon:0|OBA-93113|OrgNmn:Katarina Stein DBA Serenity Flow|Org Addr:Edgewater,Maryland,US|OBA Nature:Private Yoga instructor offeri|Invst Rel:N|Title:Sole Proprietor|Duties:Teach private yoga classes |StrtDt:|TotHrs/mon:4|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Katarina Stein'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®
CFP®
Start date: 2015
Education
Marymount University
Post-Baccalaureate Degree - Computer Sciences
2002
Free University
Master of Arts - American Studies
1996
Indiana University
Master of Arts - English
1994
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 1901 Towne Centre Boulevard, Annapolis, MD 21401RIA
CRD#: 104555
EDGEWATER, MD
Current
February 17, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 1901 Towne Centre Boulevard, Annapolis, MD 21401BD
CRD#: 7784
Annapolis, MD
Past
February 26, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
ANNAPOLIS, MD
Past
September 24, 2020 - February 8, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SEVERNA PARK, MD
Past
September 24, 2020 - February 8, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SEVERNA PARK, MD
Past
August 29, 2018 - August 13, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ANNAPOLIS, MD
Past
August 29, 2018 - August 13, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ANNAPOLIS, MD
Past
April 18, 2018 - August 16, 2018
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Annapolis, MD
Past
April 18, 2018 - August 16, 2018
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Annapolis, MD
Past
September 1, 2015 - April 13, 2018
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Annapolis, MD
Past
September 1, 2015 - April 13, 2018
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Annapolis, MD
Past
January 28, 2015 - August 11, 2015
CAPITAL ONE ADVISORS, LLC
RIA
CRD#: 136865
SEATTLE, WA
Past
January 2, 2015 - August 11, 2015
CAPITAL ONE INVESTING, LLC
BD
CRD#: 45744
FREDERICK, MD
Past
April 24, 2014 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
RIA
CRD#: 127236
MELVILLE, NY
Past
April 24, 2014 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
BD
CRD#: 25658
FREDERICK, MD
Past
April 22, 2010 - April 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SEVERNA PARK, MD
Past
April 22, 2010 - April 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SEVERNA PARK, MD
Past
August 22, 2008 - March 19, 2010
M&T SECURITIES, INC.
RIA
CRD#: 17358
DEALE, MD
Past
August 22, 2008 - March 19, 2010
M&T SECURITIES, INC.
BD
CRD#: 17358
DEALE, MD
Past
August 22, 2007 - August 13, 2008
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WASHINGTON, DC
Past
July 3, 2007 - August 13, 2008
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WASHINGTON, DC
Past
June 20, 2006 - September 1, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ANNAPOLIS, MD
Past
June 2, 2006 - September 1, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ANNAPOLIS, MD
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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(8/2/2021)
RR
Arizona(8/2/2021)
RR
California(7/12/2021)
RR
Colorado(8/2/2021)
RR
Connecticut(8/2/2021)
RR
Delaware(2/17/2021)
RR
District of Columbia(2/17/2021)
RR
Florida(8/2/2021)
RR
Georgia(8/2/2021)
RR
Hawaii(8/2/2021)
RR
Idaho(3/26/2025)
RR
Illinois(8/2/2021)
RR
Louisiana(8/2/2021)
RR
Maine(8/2/2021)
RR
Maryland(2/17/2021)
IAR
Maryland(3/31/2025)
RR
Massachusetts(8/2/2021)
RR
Michigan(8/2/2021)
RR
Minnesota(8/2/2021)
RR
Mississippi(8/2/2021)
RR
Montana(4/1/2024)
RR
Nevada(6/14/2024)
RR
New Hampshire(8/2/2021)
RR
New Jersey(8/2/2021)
RR
New York(7/12/2021)
RR
North Carolina(8/2/2021)
RR
Ohio(8/3/2021)
RR
Oregon(12/6/2022)
RR
Pennsylvania(7/12/2021)
RR
South Carolina(7/12/2021)
RR
Texas(8/2/2021)
IAR
Texas(3/31/2025)
RR
Virginia(2/17/2021)
RR
West Virginia(8/2/2021)
RR
Wyoming(8/2/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Financial ConsultantCRD#: 104555Edgewater, MDTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
