Katherine S. Storey
STRATEGIC ADVISERS LLC | Vice President, Wealth Planner
FALMOUTH, ME
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CRD#: 5576460
Professional summary
Katherine Smith Storey, CFP®, who also goes by Katherine V Smith, Katherine S Storey, Katherine V Storey, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Falmouth, Maine and FIDELITY BROKERAGE SERVICES LLC located in Portland, Maine.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Katherine has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
I am passionate about building meaningful relationships with the clients I support. I partner with these families and individuals to fully understand their current state, assess multiple goals and help build confidence in their financial future.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine V Smith | Katherine S Storey | Katherine V Storey
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Smith Storey'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®
Education
Fordham University
Bachelor of Business Administration - Economics
2008
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
Office #2: 190 Middle Street Suite 201 & 701, Portland, ME 04101-6423RIA
CRD#: 104555
FALMOUTH, ME
Current
September 30, 2008 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 190 Middle Street Suite 201 & 701, Portland, ME 04101-6423BD
CRD#: 7784
PORTLAND, ME
Past
July 13, 2018 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
PORTLAND, ME
Past
July 15, 2009 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
PORTLAND, ME
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Alaska(5/28/2024)
RR
California(3/20/2023)
RR
Colorado(1/4/2019)
RR
Connecticut(3/2/2024)
RR
District of Columbia(11/3/2022)
RR
Florida(10/30/2008)
RR
Georgia(1/8/2021)
RR
Hawaii(10/29/2025)
RR
Idaho(3/21/2025)
RR
Illinois(10/29/2025)
RR
Indiana(1/4/2019)
RR
Maine(7/29/2009)
IAR
Maine(3/31/2025)
RR
Maryland(10/25/2022)
RR
Massachusetts(7/29/2009)
RR
Montana(8/13/2021)
RR
New Hampshire(7/29/2009)
RR
New Jersey(4/23/2020)
RR
New York(3/23/2009)
RR
North Carolina(11/8/2024)
RR
Pennsylvania(2/12/2021)
RR
Rhode Island(2/12/2021)
RR
South Carolina(3/4/2022)
RR
Texas(3/2/2024)
IAR
Texas(3/31/2025)
RR
Vermont(7/29/2009)
RR
Virginia(1/4/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
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Contact information
Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
Red Flags
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Company Information
STRATEGIC ADVISERS LLC
Vice President, Wealth PlannerCRD#: 104555Falmouth, METRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
