Katelyn G. Harper
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.
Katelyn G Harper, CFP®, who also goes by Katelyn M Gardner, Katelyn Gardner, Katie Marie Gardner, Katelyn G Harper, Katelyn Gardner Harper, Katelyn M Harper, was a registered financial professional .
Katelyn is a previously registered financial professional and started their career in finance in 2014. Katelyn had worked at 8 firms and has passed the Series 66, 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
Start date: 2020
Experience
April 24, 2020 - September 20, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 3, 2020 - September 12, 2022
FIDELITY BROKERAGE SERVICES LLC
February 28, 2018 - March 17, 2020
TD AMERITRADE, INC.
February 26, 2018 - March 17, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - March 17, 2020
TD AMERITRADE, INC.
February 10, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
December 23, 2015 - February 26, 2018
SCOTTRADE, INC.
September 2, 2014 - August 25, 2015
EMPOWER FINANCIAL SERVICES, INC.
May 21, 2014 - September 2, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
