Kathryn L. Brownstein
Professional summary
Kathryn Leigh Brownstein, CFP®, who also goes by Kathryn Leigh Frantz, Katie Leigh Frantz, is a registered financial advisor currently at TRUEPOINT, INC. located in Blue Ash, Ohio.
Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Kathryn has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn Leigh Brownstein's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2017
Experience
March 18, 2021 - Present
TRUEPOINT, INC.
Office #1: 9999 Carver Road, Blue Ash, OH 45242January 13, 2015 - March 14, 2016
CETERA ADVISORS LLC
May 15, 2014 - March 14, 2016
CETERA ADVISORS LLC
Primary Firm SEC Registration
TRUEPOINT, INC.
CRD#: 105664 / SEC#: 801-25433
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/18/2021)
Exams
Current Firm
TRUEPOINT, INC.
CRD#: 105664 / SEC#: 801-25433
Contact information
SEC notice filing (31 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,863 |
| AUM (Assets Under Management) | $ 5,391,465,030 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/08/2024 | ||
| 10/06/2023 | ||
| 01/11/2023 |
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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Company Information
TRUEPOINT, INC.
CRD#: 105664Blue Ash, OH 45242TRUST BUT VERIFY
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