KG
Katherine M. Groce
PROSTATIS FINANCIAL ADVISORS GROUP
Hanover, MD 21076
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CRD#: 5345515
KG
Professional summary
Katherine Marie Groce, who also goes by Katherine Marie Garlock, is a registered financial advisor currently at PROSTATIS FINANCIAL ADVISORS GROUP located in Hanover, Maryland.
Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Katherine has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Marie Garlock
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) 03/2012- PRESENT-PROSTATIS FINANCIAL ADVISORS GROUP, 7580 BUCKINGHAM BLVD., STE. 180, HANOVER, MD. 21076. INVESTMENT RELATED MY ROLE IS CLIENT SERVICE MANAGER. I ASSIST THE ADVISORS WITH OPERATIONS AND PLANNING AND THE CLIENTS WITH SERVICE RELATED TO THEIR INVESTMENTS. THIS INCLUDES NEW BUSINESS PROCESSING, ACCOUNT TRANSFERS, CASHIERING, TRADING, PREPARING FINANCIAL PLANS AND CASE DESIGN FOR NEW AND EXISTING CLIENTS OF PROSTATIS FINANCIAL ADVISORS.
I DEVOTE APPROX. 160 HOURS PER MONTH TO THESE ACTIVITIES, ALL DURING SECURITIES TRADING HOURS
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Marie Groce'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
April 3, 2015 - Present
PROSTATIS FINANCIAL ADVISORS GROUP
Office #1: 7580 Buckingham Blvd, Suite 180, Hanover, MD 21076RIA
CRD#: 132662
Hanover, MD
Past
October 14, 2019 - February 4, 2020
PEAK BROKERAGE SERVICES, LLC
BD
CRD#: 157045
JUPITER, FL
Past
March 23, 2015 - June 25, 2019
TAYLOR CAPITAL MANAGEMENT INC.
BD
CRD#: 43559
Hanover, MD
Past
November 22, 2013 - April 7, 2014
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
GLEN BURNIE, MD
Past
April 12, 2012 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
BD
CRD#: 18334
GLEN BURNIE, MD
Past
August 31, 2011 - March 13, 2012
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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".
PF
PROSTATIS FINANCIAL ADVISORS GROUP
GAME CHANGER WEALTH | WEALTH EDUCATIONAL SOLUTIONS | SHEPHERD WEALTH SOLUTIONS | PROSTATIS MANAGEMENT GROUP | PROSTATIS GROUP LLC | PROSTATIS FINANCIAL ADVISORS GROUP, LLC | PROSTATIS FINANCIAL ADVISORS GROUP | MCPHERSON FINANCIAL GROUP
CRD#: 132662 / SEC#: 801-112501
RIA
Registered Investment Advisory firm - (2/23/2018 Approved)Florida
Registered Investment Advisory firm - (4/5/2018 Terminated)Maryland
Registered Investment Advisory firm - (7/20/2018 Terminated)Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)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
Maryland(4/3/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PF
PROSTATIS FINANCIAL ADVISORS GROUP
GAME CHANGER WEALTH | WEALTH EDUCATIONAL SOLUTIONS | SHEPHERD WEALTH SOLUTIONS | PROSTATIS MANAGEMENT GROUP | PROSTATIS GROUP LLC | PROSTATIS FINANCIAL ADVISORS GROUP, LLC | PROSTATIS FINANCIAL ADVISORS GROUP | MCPHERSON FINANCIAL GROUP
CRD#: 132662 / SEC#: 801-112501
RIA
Registered Investment Advisory firm - (2/23/2018 Approved)Florida
Registered Investment Advisory firm - (4/5/2018 Terminated)Maryland
Registered Investment Advisory firm - (7/20/2018 Terminated)Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
7580 Buckingham Blvd, Suite 180, Hanover, MD 21076
Mailing Address
Phone number
(410) 863-1040
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,217 |
| AUM (Assets Under Management) | $ 508,939,132 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
