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KATIE COMPTON STEPHENSON

KATIE C. STEPHENSON

Some features on this profile are disabled
CRD#: 6104729
KATIE COMPTON STEPHENSON

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 COMPTON STEPHENSON, CFP®, who also goes by Katie Allison Compton, was a registered financial professional .

KATIE is a previously registered financial professional and started their career in finance in 2012. KATIE had worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Biography

Katie serves as a Wealth Manager, working directly with her clients to create and maintain a customized financial plan addressing all aspects of a healthy financial life, including investments, tax planning, risk management, retirement, employee benefits and estate planning. With more than a decade of experience in the financial services industry, Katie offers her clients a truly comprehensive planning experience. Prior to joining Creative Planning, Katie served as a wealth manager at a Memphis-based independent investment advisory firm. Katie received her Bachelor of Arts and Master of Business Administration degrees from Mississippi State University and her Juris Doctor degree from the University of Memphis. She is also a CERTIFIED FINANCIAL PLANNER™ professional, as designated by the Certified Financial Planner Board of Standards, and a member of the State Bar of Tennessee. Katie enjoys traveling and spending time with her three children, Thomas, Clarke and Wise.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katie Allison Compton

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®
CFP®

Certified Financial Planner

Start date: 2016

Experience

Past

March 2, 2023 - May 21, 2026

CREATIVE PLANNING

RIA
CRD#: 105348
Collierville, TN
Past

January 7, 2014 - March 9, 2023

TELARRAY, LLC

RIA
CRD#: 135391
MEMPHIS, TN
Past

November 2, 2012 - November 27, 2013

SOUTHSTATE SECURITIES CORP.

RIA
CRD#: 6950
MEMPHIS, TN
Past

September 25, 2012 - November 27, 2013

SOUTHSTATE SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS (SHELBY), TN

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".
CP
CREATIVE PLANNING
CREATIVE PLANNING | WOMEN'S WEALTH MANAGEMENT | THE EXCHANGE TRADED FUND CENTER | CREATIVE PLANNING, LLC | CREATIVE PLANNING, INC. | CREATIVE PLANNING INC

CRD#: 105348 / SEC#: 801-18564

RIA
Registered Investment Advisory firm - (3/18/1983 Approved)

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
IAR
Series 65
Date: 2/7/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 10/30/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/24/2012
General Securities Representative Examination

Current Firm

CP
CREATIVE PLANNING
CREATIVE PLANNING | WOMEN'S WEALTH MANAGEMENT | THE EXCHANGE TRADED FUND CENTER | CREATIVE PLANNING, LLC | CREATIVE PLANNING, INC. | CREATIVE PLANNING INC

CRD#: 105348 / SEC#: 801-18564

RIA
Registered Investment Advisory firm - (3/18/1983 Approved)
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Contact information

Main Address
5454 W. 110th Street, Overland Park, KS 66211
Mailing Address
Phone number
(866) 909-5148
Established
Firm type
Fiscal year end
# of Employees
1,428

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CREATIVE PLANNING FIRM BROCHURE (3/5/2025)

Regulatory assets under management

Total Number of Accounts269,686
AUM (Assets Under Management)$ 217,399,324,981

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/27/2025
Cover Page
Report
09/19/2024
Cover Page
Report
01/03/2024
Cover Page
Report
01/18/2023
Cover Page
Report

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

CREATIVE PLANNING

Wealth ManagerCRD#: 105348

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