Kathleen K. Anderson

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CRD#: 6450134

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.

Kathleen Kalu Anderson, who also goes by Kathleen Marie Kalu, Kathleen Kalu-anderson, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 2015. Kathleen had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, Series 79 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathleen Marie Kalu | Kathleen Kalu-Anderson

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.

OPERATIONS AT SECFI SECURITIES, BASED IN SAN FRANCISCO, CA, AN INVESTMENT-RELATED AFFILIATE UNDER COMMON OWNERSHIP WITH SECFI ADVISORY LIMITED SINCE MARCH 2021 FOR APPROXIMATELY 100 HOURS A MONTH, MOST OF WHICH ARE DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 21, 2022 - May 17, 2024

SECFI ADVISORY LIMITED

RIA

CRD#: 306961

SAN FRANCISCO, CA

Past

July 19, 2021 - May 17, 2024

SECFI SECURITIES, LLC

CRD#: 302112

SAN FRANCISCO, CA

Past

November 28, 2017 - June 21, 2022

REBALANCE LLC

RIA

CRD#: 158242

PALO ALTO, CA

Past

April 23, 2015 - August 12, 2016

PRESIDIO MERCHANT PARTNERS LLC

CRD#: 46473

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SECFI ADVISORY LIMITED

SECFI | SECFI WEALTH | SECFI ADVISORY LIMITED

CRD#: 306961 / SEC#: 801-126017

RIA

Registered Investment Advisory firm - (7/7/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 8/30/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/28/2017

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/17/2021

General Securities Representative Examination

General Industry/Product Exam

Series 79

Date: 4/22/2015

Investment Banking Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/31/2015

General Securities Principal Examination

Current Firm

SECFI ADVISORY LIMITED

SECFI | SECFI WEALTH | SECFI ADVISORY LIMITED

CRD#: 306961 / SEC#: 801-126017

RIA

Registered Investment Advisory firm - (7/7/2022 Approved)

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Contact information

Main Address

25 Broadway 10th Floor, New York, NY 10004

Mailing Address

Phone number

(707) 652-9961

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (6/3/2025)

Regulatory assets under management

Total Number of Accounts	88
AUM (Assets Under Management)	$ 174,020,811

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
SEC	ERA - Withdrawn	6/2/2022

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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Kathleen K. Anderson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECFI SECURITIES, LLC

REBALANCE LLC

PRESIDIO MERCHANT PARTNERS LLC

Primary Firm SEC Registration

SECFI ADVISORY LIMITED

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/2021

Series 65

Date: 11/28/2017

Series 7TO

Date: 7/17/2021

Series 79

Date: 4/22/2015

Series 24

Date: 8/31/2015

Current Firm

SECFI ADVISORY LIMITED

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

SECFI ADVISORY LIMITED

TRUST BUT VERIFY

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