KB
Katie A. Brown
ARMSTRONG DIXON
Baltimore, MD 21209
Some features on this profile are disabled
CRD#: 6158775
KB
Professional summary
Katie Anne Brown, who also goes by Katie Anne Flohr, is a registered financial advisor currently at ARMSTRONG DIXON located in Baltimore, Maryland and LPL FINANCIAL LLC located in Baltimore, Maryland.
Katie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Katie has worked at 2 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Anne Flohr
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. 3/25/2015: ARMSTRONG DIXON - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - START 08/15/2013 - 75% OF TIME SPENT. 2. 4/29/2015: ADE, LLC - DBA: Armstrong Dixon - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR HYBRID - START 08/19/2013 - 600 Hours Per Month During Securities Trading - NOT ADVISING CLIENTS. 3. 3/5/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Other-Notary - Started 04/19/2016 - 1 Hour Per Month During Securities Trading. 4. 5/9/2018 - ADE, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 04/20/2018 - 150 Hours Per Month/150 Hours During Securities Trading. 5. 11/21/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date: 08/01/2012 - 10 Hours Per Month/10 Hours During Securities Trading. 6. 09/13/2023 - Sulgrave Associates - Outside/W-2 Employment - Property Manager - Not Investment Related - Home Based - Start Date 09/01/2023 - 5 Hours Per Month/ 5 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Katie Anne Brown'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
July 23, 2015 - Present
ARMSTRONG DIXON
Office #1: 1500 Sulgrave Ave, Baltimore, MD 21209RIA
CRD#: 168345
Baltimore, MD
Current
April 22, 2015 - Present
LPL FINANCIAL LLC
Office #1: 1500 Sulgrave Ave, Baltimore, MD 21209-3616RIA
BD
CRD#: 6413
Baltimore, MD
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".
AD
ARMSTRONG DIXON
ADAG, LLC | HOWARD DESIGNS, LLC | CELESTIAL WEALTH MANAGEMENT | ARMSTRONG DIXON | ADE, LLC
CRD#: 168345 / SEC#: 801-106631
RIA
Registered Investment Advisory firm - (9/8/2015 Approved)Florida
Registered Investment Advisory firm - (9/9/2015 Terminated)Louisiana
Registered Investment Advisory firm - (10/14/2014 Terminated)Maryland
Registered Investment Advisory firm - (9/9/2015 Terminated)Virginia
Registered Investment Advisory firm - (9/11/2015 Terminated)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
Delaware(7/19/2018)
RR
District of Columbia(7/19/2018)
RR
Florida(7/19/2018)
RR
Georgia(1/31/2023)
RR
Hawaii(10/2/2023)
RR
Maryland(4/22/2015)
IAR
Maryland(7/23/2015)
RR
New York(7/19/2018)
RR
North Carolina(7/19/2018)
RR
Oregon(7/19/2018)
RR
Pennsylvania(7/19/2018)
RR
South Carolina(7/15/2024)
RR
Virginia(7/19/2018)
RR
West Virginia(7/19/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AD
ARMSTRONG DIXON
ADAG, LLC | HOWARD DESIGNS, LLC | CELESTIAL WEALTH MANAGEMENT | ARMSTRONG DIXON | ADE, LLC
CRD#: 168345 / SEC#: 801-106631
RIA
Registered Investment Advisory firm - (9/8/2015 Approved)Florida
Registered Investment Advisory firm - (9/9/2015 Terminated)Louisiana
Registered Investment Advisory firm - (10/14/2014 Terminated)Maryland
Registered Investment Advisory firm - (9/9/2015 Terminated)Virginia
Registered Investment Advisory firm - (9/11/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1500 Sulgrave Ave, Baltimore, MD 21209
Mailing Address
Phone number
(443) 563-1111
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 932 |
| AUM (Assets Under Management) | $ 350,513,365 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
