Katherine Harper
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 Harper, who also goes by Katherine Elizabeth Harper, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2012. Katherine had worked at 3 firms and has passed the Series 66, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2025 - December 22, 2025
ALLWORTH FINANCIAL, L.P.
July 28, 2014 - September 12, 2025
SHEAFF BROCK INVESTMENT ADVISORS, LLC
October 9, 2012 - July 18, 2014
CHARLES SCHWAB & CO., INC.
May 1, 2012 - July 18, 2014
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLWORTH FINANCIAL, L.P.
CRD#: 111167 / SEC#: 801-68255
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 64,930 |
| AUM (Assets Under Management) | $ 25,097,132,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2025 | ||
| 02/05/2025 |
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.
