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KM

Kathy A. Miner

ISAAK BOND INVESTMENTS
Lakewood, CO 80235-2224
Some features on this profile are disabled
CRD#: 6515748
KM

Professional summary

Kathy Ann Miner, who also goes by Kathy Ann Miner, Kathy Ann Sandbach, is a registered financial professional currently at ISAAK BOND INVESTMENTS, INC. located in Lakewood, Colorado.

Kathy is registered as a RR (Registered Representative) and started their career in finance in 2019. Kathy has worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathy Ann Miner | Kathy Ann Sandbach

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) - BD

Click below to view Kathy Ann Miner's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 1, 2019 - Present

ISAAK BOND INVESTMENTS, INC.

Office #1: 3900 S Wadsworth Blvd, Ste 590, Lakewood, CO 80235-2224Office #2: 3900 S Wadsworth Blvd, Ste 590, Lakewood, CO 80235
BD
CRD#: 7413
Lakewood, CO

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(1/1/2019)

Exams

General Industry/Product Exam
RR
SIE
Date: 1/3/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 12/31/2018
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

IB
ISAAK BOND INVESTMENTS, INC.
ISAAK BOND INVESTMENTS, INC.

CRD#: 7413 / SEC#: , 8-21410

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
3900 S Wadsworth Blvd, Ste 590, Lakewood, CO 80235-2224
Mailing Address
3900 S Wadsworth Blvd, Ste 590, Lakewood, CO 80235-2224
Phone number
(303) 623-7500
Established
Colorado since 03/01/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ISAAK, DAVID JOHNPRESIDENT AND CO-CHIEF COMPLIANCE OFFICER1318894
ISAAK, JOHN THOMASPRINCIPAL1357413
ISAAK, BYRON RAYVICE PRESIDENT
LEMEK, DONALD JAMESCFO/VICE PRESIDENT OF OPERATIONS, CO-CHIEF COMPLIANCE OFFICER2620701

Disclosures

Regulatory Event8

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.

Company Information

ISAAK BOND INVESTMENTS, INC.

CRD#: 7413Lakewood, CO 80235-2224

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