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KF

Kaitlin M. Fossen

Some features on this profile are disabled
CRD#: 5925271
KF

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.

Kaitlin M Fossen, who also goes by Kaitlin Mary Fossen, Kaitlin Mary Inchauspe, Kaitlin Inchauspe, was a registered financial professional .

Kaitlin is a previously registered financial professional and started their career in finance in 2013. Kaitlin had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kaitlin Mary Fossen | Kaitlin Mary Inchauspe | Kaitlin Inchauspe

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 26, 2024 - February 5, 2026

SAXONY SECURITIES, INC.

BD
CRD#: 115547
Midland, TX
Past

June 15, 2023 - February 4, 2026

AMERICANA PARTNERS, LLC

RIA
CRD#: 301354
Midland, TX
Past

July 8, 2022 - February 28, 2023

MORGAN STANLEY

BD
CRD#: 149777
Midland, TX
Past

May 14, 2022 - February 28, 2023

MORGAN STANLEY

RIA
CRD#: 149777
Midland, TX
Past

January 6, 2020 - March 31, 2022

AVIDIAN WEALTH SOLUTIONS

RIA
CRD#: 127186
MIDLAND, TX
Past

May 9, 2014 - November 19, 2018

MORGAN STANLEY

RIA
CRD#: 149777
HOUSTON, TX
Past

May 9, 2014 - November 19, 2018

MORGAN STANLEY

BD
CRD#: 149777
HOUSTON, TX
Past

March 10, 2014 - May 9, 2014

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
DENVER, CO
Past

August 3, 2013 - January 8, 2014

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
WALNUT CREEK, CA

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.

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/2/2014
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/8/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 12/17/2016
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/2/2016
General Securities Sales Supervisor - Options Module Examination

Current Firm

SS
SAXONY SECURITIES, INC.
SAXONY ADVISORS | SAXONY SECURITIES, INC. | SAXONY SECURITIES

CRD#: 115547 / SEC#: , 8-53490

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
PREMIUM
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Contact information

Main Address
11152 S Towne Square, St. Louis, MO 63123
Mailing Address
11152 S Towne Square, St. Louis, MO 63123
Phone number
(314) 963-9336
Established
Missouri since 07/13/2001
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY HOLDINGS, INC.SHAREHOLDER
KLUMP, RYAN CHRISTOPHERPRESIDENT4762698
MATARAZZI, NATHAN DOMENICOFINOP, PFO AND POO4827090
PALOS, KURT ROBERTCHIEF EXECUTIVE OFFICER6063745
PFEIFFER, STEPHANIE ANNCCO2278515

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

SAXONY SECURITIES, INC.

CRD#: 115547

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