KW
Kathleen S. Weber
DALLAS FINANCIAL ADVISORS
Allen, TX
Some features on this profile are disabled
CRD#: 5877365
KW
Professional summary
Kathleen Susan Weber, who also goes by Kathleen Susan George, Kathleen Weber, is a registered financial advisor currently at DALLAS FINANCIAL ADVISORS, LLC located in Allen, Texas and LPL FINANCIAL LLC located in Dallas, Texas.
Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kathleen has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathleen Susan George | Kathleen Weber
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. 5/4/2018 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Started 9/24/2017 - 20 Hours Per Month/0 Hours During Securities Trading - Time Spent 1% - Medicare Supplements. 2. 4/28/2021 - Summit Wine Tastings, LLC - Not Investment Related - Outside/W-2 Employment - Start Date: 4/16/2021 - 30 Hours Per Month/0 Hours During Securities Trading - Brand Ambassador. 3. 09/10/2021 - First Crush Tastings, Inc. - Not Investment Related - Various locations - Outside/W-2 Employment - Brand Ambassador - Start Date: 09/07/2021 - 30 Hours Per Month/0 Hours During Securities Trading - Describe and distribute samples of wine at local retail grocery and liquor stores. 4. 11/17/2022 - Flow Wines Group - Not Investment Related - Outside/W-2 Employment - Brand Ambassador - Start Date - 10/07/2022 - 15 Hours Per Month/0 Hours During Securities Trading 5. 3/21/2023 - Benzy, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date - 03/06/2023 - 10 Hours Per Month/0 Hours During Securities Trading 6. 11/01/2023 - Dallas Financial Advisors - Registered Investment Advisor DBA - Investment Related - At Reported Business Location(s) - Start Date 10/24/2023 - 172 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Dallas Financial Advisors, an independent investment advisor firm. I started this business activity in 11/1/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial 7. 09/17/2025- Sourced Craft Cocktails- Other - Non-Securities Related Outside/1099- Not INV Related- At Local grocery and liquor stores.- Start date 10/01/2025- 15 Hours Per Month
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Susan Weber'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
October 25, 2023 - Present
DALLAS FINANCIAL ADVISORS, LLC
RIA
CRD#: 328001
Allen, TX
Current
May 4, 2018 - Present
LPL FINANCIAL LLC
Office #1: 7616 Lbj Fwy Ste 724, Dallas, TX 75251-1127RIA
BD
CRD#: 6413
Dallas, TX
Past
May 4, 2018 - April 19, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
ALLEN, TX
Past
July 25, 2014 - May 11, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PLANO, TX
Past
July 25, 2014 - May 11, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PLANO, TX
Past
February 28, 2011 - July 29, 2014
EDWARD JONES
RIA
CRD#: 250
PLANO, TX
Past
February 16, 2011 - July 29, 2014
EDWARD JONES
BD
CRD#: 250
PLANO, TX
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
Arkansas(11/19/2020)
RR
Florida(1/9/2023)
RR
Massachusetts(8/17/2023)
RR
Texas(5/4/2018)
IAR
Texas(10/25/2023)
RR
Utah(1/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
DF
DALLAS FINANCIAL ADVISORS, LLC
DALLAS FINANCIAL ADVISORS | WINSHIP, DONNYE, EVANS | WINSHIP, DONNYE | DALLAS FINANCIAL ADVISORS, LLC
CRD#: 328001 / SEC#:
Texas
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Contact information
Main Address
7616 Lbj Fwy Ste 724, Dallas, TX 75251
Mailing Address
Phone number
(214) 245-4572
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 207 |
| AUM (Assets Under Management) | $ 58,306,940 |
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.
