Katie L. O'connor
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 Louise O'connor, who also goes by Katie Louise Chessum Ms, Katie Louise Chessum, Katie Chessum, was a registered financial professional .
Katie is a previously registered financial professional and started their career in finance in 2013. Katie had worked at 3 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
April 22, 2015 - February 5, 2025
ASSEMBLY WEALTH
December 11, 2014 - August 31, 2016
PROSPERA FINANCIAL SERVICES, INC.
December 10, 2014 - February 12, 2015
PROSPERA FINANCIAL SERVICES, INC.
December 18, 2013 - July 15, 2014
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
ASSEMBLY WEALTH
CRD#: 108834 / SEC#: 801-57629
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
ASSEMBLY WEALTH
CRD#: 108834 / SEC#: 801-57629
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 568 |
| AUM (Assets Under Management) | $ 432,943,158 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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