Katherine E. Stearns
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.
Katherine E. Stearns was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2008. Katherine had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2012 - January 23, 2020
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
January 23, 2008 - December 13, 2010
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
Primary Firm SEC Registration
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
CRD#: 109036 / SEC#: 801-56587
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
CRD#: 109036 / SEC#: 801-56587
Contact information
SEC notice filing (26 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 2,298 |
| AUM (Assets Under Management) | $ 956,132,091 |
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.
