Kathleen M. Ferguson

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CRD#: 6547584

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 Moira Ferguson, who also goes by Kathleen Moira Sullivan, was a registered financial professional .

Kathleen is a previously registered financial professional and started their career in finance in 2015. Kathleen had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathleen Moira Sullivan

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)

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

November 3, 2015 - January 10, 2017

KAIZEN FINANCIAL ADVISORS, LLC

RIA

CRD#: 155353

BELLEVUE, WA

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".

KAIZEN FINANCIAL ADVISORS, LLC

KAIZEN AVISORS, LLC | KAIZEN FINANCIAL ADVISORS, LLC | KAIZEN FINANCIAL ADVISORS

CRD#: 155353 / SEC#: 801-115111

RIA

Registered Investment Advisory firm - (4/30/2019 Approved)

Washington

Registered Investment Advisory firm - (5/1/2020 Terminated)

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).

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

IAR

Series 65

Date: 11/3/2015

Uniform Investment Adviser Law Examination

Current Firm

KAIZEN FINANCIAL ADVISORS, LLC

KAIZEN AVISORS, LLC | KAIZEN FINANCIAL ADVISORS, LLC | KAIZEN FINANCIAL ADVISORS

CRD#: 155353 / SEC#: 801-115111

RIA

Registered Investment Advisory firm - (4/30/2019 Approved)

Washington

Registered Investment Advisory firm - (5/1/2020 Terminated)

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Contact information

Main Address

4030 Lake Washington Blvd Suite 308, Kirkland, WA 98033

Mailing Address

Phone number

(425) 321-5800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAIZEN FINANCIAL ADVISORS ADV 2A MARCH 2023 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	560
AUM (Assets Under Management)	$ 244,208,652

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 M. Ferguson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KAIZEN FINANCIAL ADVISORS, LLC

Primary Firm SEC Registration

KAIZEN FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/2015

Current Firm

KAIZEN FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAIZEN FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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