Katie S. Nentwick

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CRD#: 5677211

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.

Katie Sue Nentwick, who also goes by Katie Sue Lott, Katie Lott, Katie Sue Nentwick, was a registered financial professional .

Katie is a previously registered financial professional and started their career in finance in 2010. Katie had worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Katie Sue Lott | Katie Lott | Katie Sue Nentwick

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 11, 2018 - January 3, 2022

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

Akron, OH

Past

September 10, 2018 - January 3, 2022

VALMARK SECURITIES, INC.

CRD#: 31243

Akron, OH

Past

November 9, 2017 - August 17, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WILLIAMSVILLE, NY

Past

October 5, 2017 - August 17, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

WILLIAMSVILLE, NY

Past

February 9, 2015 - September 1, 2017

VALMARK ADVISERS, INC.

RIA

CRD#: 108050

AKRON, OH

Past

February 6, 2015 - September 26, 2017

W3 WEALTH ADVISORS, LLC

RIA

CRD#: 129549

AKRON, OH

Past

November 29, 2010 - September 1, 2017

VALMARK SECURITIES, INC.

CRD#: 31243

AKRON, OH

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".

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 7/20/2017

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/21/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/27/2010

General Securities Representative Examination

Current Firm

VALMARK ADVISERS, INC.

VALMARK ADVISERS INC | VALMARK ADVISERS, INC.

CRD#: 108050 / SEC#: 801-55564

RIA

Registered Investment Advisory firm - (5/29/1998 Approved)

Wyoming

Registered Investment Advisory firm - (8/11/2017 Terminated)

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Contact information

Main Address

130 Springside Drive Suite 300, Akron, OH 44333

Mailing Address

Phone number

(800) 765-5201

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALMARK ADVISERS WEALTH MANAGEMENT SOLUTIONS ADV PART 2A APPENDIX 1-WRAP FEE PROGRAM BROCHURE (6/16/2025)

VALMARK ADVISERS, INC SEC FORM 2A FIRM BROCHURE (6/16/2025)

Regulatory assets under management

Total Number of Accounts	19,096
AUM (Assets Under Management)	$ 8,379,181,235

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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Firm Stability Insights

Katie S. Nentwick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VALMARK SECURITIES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

VALMARK ADVISERS, INC.

W3 WEALTH ADVISORS, LLC

VALMARK SECURITIES, INC.

Primary Firm SEC Registration

VALMARK ADVISERS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2017

Series 7TO

Date: 4/21/2024

SIE

Date: 10/1/2018

Series 7

Date: 11/27/2010

Current Firm

VALMARK ADVISERS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALMARK ADVISERS, INC.

TRUST BUT VERIFY

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