KH
Kathleen M. Hubbard
WALTON RE SECURITIES
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 5564316
KH
Professional summary
Kathleen Marie Hubbard, who also goes by Kathleen Marie Czarnek, Katie Czarnek, Katie Hubbard, Kathleen Marie Hubbard, Katie Matteo, Kathleen Marie Grider, is a registered financial professional currently at WALTON RE SECURITIES, LLC located in Scottsdale, Arizona.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2008. Kathleen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathleen Marie Czarnek | Katie Czarnek | Katie Hubbard | Kathleen Marie Hubbard | Katie Matteo | Kathleen Marie Grider
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.NAME OF OTHER BUSINESS: KasonT LLC INVESTMENT RELATED: No ADDRESS: 5253 W Oberlin Drive, Denver, CO 80235 NATURE OF BUSINESS: Amazon Retail Store POSITION/TITLE/RELATIONSHIP: 50% owner in LLC with Husband, no position or title START DATE: 04/2019 APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: No duties. My husband does everything for the business. I am just listed on the LLC entity paperwork as an equal owner. 2.NAME OF OTHER BUSINESS: CleanioApp LLC INVESTMENT RELATED: No ADDRESS: 5253 W Oberlin Drive NATURE OF BUSINESS: Phone App for Realtors to have homes cleaned for move outs. START DATE: 04/2019 POSITION/TITLE/RELATIONSHIP: No position or title. Not active in business. APX NUMBER OF HOURS PER WEEK: 0 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: No duties. My husband does everything for the business. I am just listed on the LLC entity paperwork as an equal owner.
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Marie Hubbard'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
May 25, 2023 - Present
WALTON RE SECURITIES, LLC
Office #1: 8800 N Gainey Center Drive Suite 345, Scottsdale, AZ 85258BD
CRD#: 172024
Scottsdale, AZ
Past
August 29, 2022 - May 9, 2023
TRITON PACIFIC SECURITIES, LLC
BD
CRD#: 139919
EL SEGUNDO, CA
Past
September 4, 2020 - August 17, 2022
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Past
September 4, 2020 - August 17, 2022
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
March 9, 2018 - September 13, 2019
CWM, LLC
RIA
CRD#: 155344
Omaha, NE
Past
December 11, 2017 - September 4, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
April 25, 2017 - August 31, 2017
BLACKROCK INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 108928
Chicago, IL
Past
March 30, 2017 - August 31, 2017
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
CHICAGO, IL
Past
August 5, 2008 - April 20, 2015
WALTON SECURITIES, INC.
BD
CRD#: 143763
SCOTTSDALE, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(3/22/2024)
RR
Arizona(5/25/2023)
RR
Arkansas(3/22/2024)
RR
California(5/25/2023)
RR
Colorado(5/25/2023)
RR
Connecticut(3/22/2024)
RR
Delaware(3/22/2024)
RR
District of Columbia(3/22/2024)
RR
Florida(5/25/2023)
RR
Georgia(5/25/2023)
RR
Hawaii(3/22/2024)
RR
Idaho(5/25/2023)
RR
Illinois(5/25/2023)
RR
Indiana(3/22/2024)
RR
Iowa(5/25/2023)
RR
Kansas(5/25/2023)
RR
Kentucky(3/22/2024)
RR
Louisiana(3/22/2024)
RR
Maine(5/16/2024)
RR
Maryland(5/25/2023)
RR
Massachusetts(5/25/2023)
RR
Michigan(3/22/2024)
RR
Minnesota(5/25/2023)
RR
Mississippi(3/22/2024)
RR
Missouri(3/22/2024)
RR
Montana(4/30/2024)
RR
Nebraska(5/25/2023)
RR
Nevada(5/25/2023)
RR
New Hampshire(3/22/2024)
RR
New Jersey(3/22/2024)
RR
New Mexico(3/22/2024)
RR
New York(5/25/2023)
RR
North Carolina(5/25/2023)
RR
North Dakota(3/22/2024)
RR
Ohio(5/29/2023)
RR
Oklahoma(5/25/2023)
RR
Oregon(3/22/2024)
RR
Pennsylvania(3/22/2024)
RR
Rhode Island(3/25/2024)
RR
South Carolina(5/25/2023)
RR
South Dakota(3/26/2024)
RR
Tennessee(3/22/2024)
RR
Texas(5/25/2023)
RR
Utah(5/25/2023)
RR
Vermont(5/7/2024)
RR
Virginia(3/22/2024)
RR
Washington(5/25/2023)
RR
West Virginia(4/10/2024)
RR
Wisconsin(3/22/2024)
RR
Wyoming(6/18/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WR
WALTON RE SECURITIES, LLC
EI CAPITAL DISTRIBUTORS, LLC | WALTON RE SECURITIES, LLC | ROKA CAPITAL DISTRIBUTORS, LLC | GRT SECURITIES, LLC
CRD#: 172024 / SEC#: , 8-69494
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
8800 N Gainey Center Drive Suite 345, Scottsdale, AZ 85258
Mailing Address
8800 N Gainey Center Drive Suite 345, Scottsdale, AZ 85258
Phone number
(480) 586-9258
Established
Delaware since 03/05/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
