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CS

Catherine E. Stieber

KESTRA ADVISORY SERVICES
San Jose, CA 95125
Some features on this profile are disabled
CRD#: 5461109
CS

Professional summary

Catherine Elizabeth Stieber, who also goes by Catherine Elizabeth Powell, Catherine Powell, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in San Jose, California and KESTRA INVESTMENT SERVICES, LLC located in San Jose, California.

Catherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Catherine has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Catherine Elizabeth Powell | Catherine Powell

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.
TRANSITIONS WEALTH ADVISORS POSITION: Scheduler NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 48 SECURITIES TRADING HOURS: 48 START DATE: 09/01/2022 ADDRESS: 1100 Lincoln Avenue, Suite 241, San Jose CA 95125, United States DESCRIPTION: Manage team calendar, schedule client meetings and phone calls. KESTRA ADVISORY SERVICES, LLC POSITION: Scheduler NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 48 SECURITIES TRADING HOURS: 48 START DATE: 09/01/2022 ADDRESS: 5707 SW Parkway, Building 2 Suite 400, Austin TX 78735, United States DESCRIPTION: Manage team calendar for Transitions Wealth Advisors and schedule client meetings and phone calls.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Catherine Elizabeth Stieber's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 20, 2022 - Present

KESTRA ADVISORY SERVICES, LLC

Office #1: 1100 Lincoln Ave Suite 236, San Jose, CA 95125
RIA
CRD#: 283330
San Jose, CA
Current

December 20, 2022 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 1100 Lincoln Avenue Ste 241, San Jose, CA 95125
BD
CRD#: 42046
San Jose, CA
Past

April 18, 2016 - December 31, 2020

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
SAN JOSE, CA
Past

September 17, 2012 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
SAN JOSE, CA
Past

September 14, 2012 - December 31, 2020

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
SAN JOSE, CA
Past

November 23, 2011 - September 19, 2012

WADDELL & REED

RIA
CRD#: 866
CAMPBELL, CA
Past

November 22, 2011 - September 19, 2012

WADDELL & REED

BD
CRD#: 866
CAMPBELL, CA

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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA
Registered Investment Advisory firm - (12/31/1998 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
California
(12/20/2022)
IAR
California
(12/20/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/24/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC

CRD#: 283330 / SEC#: 801-56126

RIA
Registered Investment Advisory firm - (12/31/1998 Approved)
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Contact information

Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299

SEC notice filing (53 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

KESTRA ADVISORY SERVICES, LLC BROCHURE (RETAIL CLIENTS) (10/21/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (WRAP FEE PROGRAM) (10/21/2025)
KESTRA ADVISORY SERVICES, LLC BROCHURE (PLAN CLIENTS) (10/21/2025)

Regulatory assets under management

Total Number of Accounts155,482
AUM (Assets Under Management)$ 60,174,309,829

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/23/2024
Cover Page
Report
10/20/2023
Cover Page
Report
12/21/2022
Cover Page
Report

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

KESTRA ADVISORY SERVICES, LLC

CRD#: 283330San Jose, CA 95125

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