Kathleen C. Hudock
Professional summary
Kathleen Crisel Hudock, who also goes by Kathleen Crisel Siojo, is a registered financial advisor currently at PEKIN HARDY STRAUSS, INC. located in Carmel, Indiana.
Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Kathleen has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathleen Crisel Hudock's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 17, 2025 - Present
PEKIN HARDY STRAUSS, INC.
June 19, 2019 - June 20, 2019
CETERA INVESTMENT ADVISERS LLC
June 18, 2019 - June 20, 2019
CETERA INVESTMENT SERVICES LLC
June 6, 2017 - June 23, 2017
TD AMERITRADE, INC.
June 6, 2017 - June 23, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 21, 2017 - June 23, 2017
TD AMERITRADE, INC.
Primary Firm SEC Registration
PEKIN HARDY STRAUSS, INC.
CRD#: 107310 / SEC#: 801-35684
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/17/2025)
(7/17/2025)
(8/4/2025)
Exams
Current Firm
PEKIN HARDY STRAUSS, INC.
CRD#: 107310 / SEC#: 801-35684
Contact information
SEC notice filing (25 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,821 |
| AUM (Assets Under Management) | $ 1,144,100,534 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/25/2024 | ||
| 10/18/2023 | ||
| 01/20/2023 |
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.
