Katherine M. Edwards

MAINSTREET FINANCIAL PLANNING

Murfreesboro, TN

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CRD#: 6322212

Professional summary

Katherine Marie Edwards, CFP®, who also goes by Katherine Marie Nutter, is a registered financial advisor currently at MAINSTREET FINANCIAL PLANNING, INC. located in Murfreesboro, Tennessee.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Katherine has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine Marie Nutter

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) - RIA

Click below to view Katherine Marie Edwards'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®

CFP^®

Certified Financial Planner

Start date: 2017

Experience

Current

October 18, 2022 - Present

MAINSTREET FINANCIAL PLANNING, INC.

RIA

CRD#: 123189

Murfreesboro, TN

Past

August 15, 2018 - January 26, 2022

ADAMS CHETWOOD WEALTH MANAGEMENT LLC

RIA

CRD#: 174978

Durham, NC

Past

May 3, 2016 - November 22, 2021

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Durham, NC

Past

December 7, 2015 - March 22, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NASHVILLE, TN

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.

Highlighted states indicate IAR registrations

IAR

California
(10/18/2022)

IAR

District of Columbia
(6/21/2023)

IAR

Maryland
(10/18/2022)

IAR

New York
(10/18/2022)

IAR

Tennessee
(3/15/2023)

IAR

Virginia
(10/18/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/29/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/7/2015

General Securities Representative Examination

Current Firm

MAINSTREET FINANCIAL PLANNING, INC.

CRD#: 123189 / SEC#:

California

Registered Investment Advisory firm - (8/6/2003 Approved)

District of Columbia

Registered Investment Advisory firm - (9/5/2006 Approved)

Maryland

Registered Investment Advisory firm - (11/4/2002 Approved)

Nevada

Registered Investment Advisory firm - (4/28/2023 Terminated)

New York

Registered Investment Advisory firm - (2/22/2011 Approved)

North Carolina

Registered Investment Advisory firm - (10/3/2022 Approved)

Tennessee

Registered Investment Advisory firm - (3/14/2023 Approved)

Texas

Registered Investment Advisory firm - (12/20/2021 Terminated)

Virginia

Registered Investment Advisory firm - (2/15/2007 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Los Gatos, CA

Mailing Address

Phone number

(888) 897-6743

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Firm Stability Insights

Katherine M. Edwards

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Marie Edwards's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAINSTREET FINANCIAL PLANNING, INC.

ADAMS CHETWOOD WEALTH MANAGEMENT LLC

PURSHE KAPLAN STERLING INVESTMENTS

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/29/2016

SIE

Date: 10/1/2018

Series 7

Date: 12/7/2015

Current Firm

MAINSTREET FINANCIAL PLANNING, INC.

Contact information

Documents

Red Flags

Company Information

MAINSTREET FINANCIAL PLANNING, INC.

TRUST BUT VERIFY

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