Katie J. Staples
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 June Staples, who also goes by Katie Affricano, Katie Staples, was a registered financial professional .
Katie is a previously registered financial professional and started their career in finance in 2014. Katie had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2020 - November 14, 2022
CURRAN FINANCIAL PARTNERS, LLC
October 3, 2016 - October 4, 2018
CITIZENS SECURITIES, INC.
July 31, 2014 - October 4, 2018
CITIZENS SECURITIES, INC.
Primary Firm SEC Registration
CURRAN FINANCIAL PARTNERS, LLC
CRD#: 281943 / SEC#: 801-119322
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
CURRAN FINANCIAL PARTNERS, LLC
CRD#: 281943 / SEC#: 801-119322
Contact information
SEC notice filing (17 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,590 |
| AUM (Assets Under Management) | $ 592,868,740 |
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.
