Kathleen A. Parker

FREMONT FINANCIAL ADVISORS

RIVERTON, WY 82501

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CRD#: 5469006

Professional summary

Kathleen Ann Parker, who also goes by Kathleen Ann Parker Mrs., is a registered financial advisor currently at FREMONT FINANCIAL ADVISORS INC. located in Riverton, Wyoming.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Kathleen has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen Ann Parker Mrs.

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.

I AM LICENSED TO SELL LIFE, ACCIDENT, HEALTH, SICKNESS AND DISABILITY INSURANCE IN THE STATE OF WYOMING. APPROXIMATELY 10% OF MY TIME IS DEVOTED TO THIS AREA FOR CLIENTS. THIS INSURANCE IS SOLD THROUGH FREMONT FIANCIAL INC. I BECAME LICENSED 10/2006.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Ann Parker'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®

None

Experience

Current

May 24, 2023 - Present

FREMONT FINANCIAL ADVISORS INC.

Office #1: 2220 Riverview Road, Riverton, WY 82501

RIA

CRD#: 145865

RIVERTON, WY

Past

February 12, 2010 - December 31, 2017

FREMONT FINANCIAL ADVISORS INC.

RIA

CRD#: 145865

RIVERTON, WY

Past

February 28, 2008 - December 31, 2009

FREMONT FINANCIAL ADVISORS INC.

RIA

CRD#: 145865

RIVERTON, WY

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

Wyoming
(5/24/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/8/2007

Uniform Investment Adviser Law Examination

Current Firm

FREMONT FINANCIAL ADVISORS INC.

CRD#: 145865 / SEC#: 801-68756

RIA

Registered Investment Advisory firm - (3/23/2018 Terminated)

Wyoming

Registered Investment Advisory firm - (7/11/2017 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2220 Riverview Road, Riverton, WY 82501

Mailing Address

Phone number

(307) 856-1234

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	41
AUM (Assets Under Management)	$ 10,043,994

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.

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Kathleen A. Parker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Ann Parker's CRS (Customer Relationship Summary).

Certified licenses

Experience

FREMONT FINANCIAL ADVISORS INC.

FREMONT FINANCIAL ADVISORS INC.

FREMONT FINANCIAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/8/2007

Current Firm

FREMONT FINANCIAL ADVISORS INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FREMONT FINANCIAL ADVISORS INC.

TRUST BUT VERIFY

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