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MS

Mildred Louise M. Santos

Some features on this profile are disabled
CRD#: 5339351
MS

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.

Mildred Louise Marquez Santos, CFP®, who also goes by Mildred Marquez Santos, Mildred Santos, was a registered financial professional .

Mildred Louise is a previously registered financial professional and started their career in finance in 2007. Mildred Louise had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mildred Marquez Santos | Mildred Santos

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®
CFP®

Certified Financial Planner

Experience

Past

July 24, 2025 - December 31, 2025

KATHMERE CAPITAL MANAGEMENT, LLC

RIA
CRD#: 305118
WAYNE, PA
Past

April 6, 2018 - October 7, 2020

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
Malvern, PA
Past

April 6, 2018 - October 7, 2020

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA
Past

April 12, 2013 - March 19, 2018

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
PHOENIXVILLE, PA
Past

April 12, 2013 - March 19, 2018

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
PHOENIXVILLE, PA
Past

September 19, 2012 - April 10, 2013

SANTANDER SECURITIES LLC

RIA
CRD#: 41791
PHILADELPHIA, PA
Past

September 19, 2012 - April 10, 2013

SANTANDER SECURITIES LLC

BD
CRD#: 41791
PHILADELPHIA, PA
Past

January 3, 2011 - September 19, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
DEVON, PA
Past

July 6, 2010 - September 19, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
DEVON, PA
Past

July 18, 2007 - June 28, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
WAYNE, PA

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".
KC
KATHMERE CAPITAL MANAGEMENT, LLC
KATHMERE CAPITAL MANAGEMENT, LLC

CRD#: 305118 / SEC#: 801-117215

RIA
Registered Investment Advisory firm - (8/22/2019 Approved)

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
IAR
Series 65
Date: 12/31/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/19/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/17/2007
Investment Company Products/Variable Contracts Representative Examination

Current Firm

KC
KATHMERE CAPITAL MANAGEMENT, LLC
KATHMERE CAPITAL MANAGEMENT, LLC

CRD#: 305118 / SEC#: 801-117215

RIA
Registered Investment Advisory firm - (8/22/2019 Approved)
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Contact information

Main Address
435 Devon Park Drive Suite 715, Wayne, PA 19087
Mailing Address
Phone number
(610) 989-3900
Established
Firm type
Fiscal year end
# of Employees
18

SEC notice filing (16 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KATHMERE CAPITAL MANAGEMENT ADV PART 2A 2022 (10/31/2025)

Regulatory assets under management

Total Number of Accounts2,402
AUM (Assets Under Management)$ 2,468,761,634

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

KATHMERE CAPITAL MANAGEMENT, LLC

CRD#: 305118

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