Kathy Buckner Rowe | Financial Professional

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.

Kathy Buckner Rowe, who also goes by Kathy Buckner, Kathy B Rowe, Kathy Rowe, was a registered financial professional .

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

Question & Answer

Are you a "fiduciary"?

No

Aliases

Kathy Buckner | Kathy B Rowe | Kathy Rowe

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.

WESTWOOD RH INVESTMENTS - OWNER. RENTAL PROPERTY LLC AT 60 SOUTH WESTWOOD DR. OREM UTAH. NOT SECURITIES RELATED. REVENUE FROM MONTHLY RENTS; LESS THAN 1 HOUR MONTHLY; NOT DURING MARKET HOURS. Ms. Rowe is a tax associate with Kaizen Tax Service where her responsibilities are seasonal preparation. of tax returns from February to April. No time is spent on this activity during trading hours. 2 hours a month are spent on this activity outside trading hours. 10% of her yearly compensation is derived from this activity.

Blog Corner

CRS (Client Relationship Summary)

August 9, 2010 - January 2, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD

CRD#: 7691

PROVO, UT

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".

TI

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 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

RR

IAR

Series 66

Date: 9/2/2010

Uniform Combined State Law Examination

General Industry/Product Exam

RR

Series 7

Date: 8/6/2010

General Securities Representative Examination

Current Firm

TI

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 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).

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Contact information

Main Address

9878 W. Belleview Ave. #2306, Denver, CO 80123

Mailing Address

Phone number

(303) 572-3500

Established

Firm type

Fiscal year end

# of Employees

5

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE INSTITUTE 2A (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,848
AUM (Assets Under Management)	$ 1,154,643,475

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

Kathy B. Rowe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE INSTITUTE

INSTITUTE FOR WEALTH ADVISORS, INC.

CONCERT WEALTH MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THE INSTITUTE

State Registrations and Notice Filings

Exams

Series 66

Date: 9/2/2010

Series 7

Date: 8/6/2010

Current Firm

THE INSTITUTE

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INSTITUTE

TRUST BUT VERIFY

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