Katie P. Western
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 Paige Western, who also goes by Katie Paige Emison, Katie Western, was a registered financial professional .
Katie is a previously registered financial professional and started their career in finance in 2013. Katie had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2023 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 30, 2023 - July 29, 2024
TD AMERITRADE, INC.
January 10, 2023 - July 30, 2025
CHARLES SCHWAB & CO., INC.
January 10, 2023 - July 30, 2025
CHARLES SCHWAB & CO., INC.
April 29, 2013 - December 20, 2022
HALL & ROMKEMA FINANCIAL SERVICES, LLC
February 22, 2013 - December 20, 2022
HALL & ROMKEMA FINANCIAL SERVICES, LLC
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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
