CW
Courtenay A. Wise
KETRON FINANCIAL LLC
NOVATO, CA 94945
Some features on this profile are disabled
CRD#: 6556497
CW
Professional summary
Courtenay A. Wise, who also goes by Courtenay Wise, is a registered financial advisor currently at KETRON FINANCIAL LLC located in Novato, California and LPL FINANCIAL LLC located in Novato, California.
Courtenay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Courtenay has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Courtenay Wise
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.
1. 06/05/2025- Ketron Financial LLC- Registered Investment Advisor Hybrid- INV Related- At Reported Business Location(s)- Start date 05/06/2024- 180 Hours Per Month- 180 Hours During Trading- I provide investment advisory services to Ketron Financial, LLC, an independent investment advisor firm. I started this business activity in 6/2025. I expect to spend approximately 180 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. Courtenay Wise- Notary- INV Related- At Reported Business Location(s)- Start date 10/01/2015- 4 Hours Per Month 3. Courtenay Wise-Non-Variable Insurance- INV Related- At Reported Business Location(s)- Start date 11/15/2016- 60 Hours Per Month
CRS (Client Relationship Summary) - RIA
Click below to view Courtenay A. Wise's 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®
NoneExperience
Current
July 1, 2024 - Present
KETRON FINANCIAL LLC
Office #1: 1500 Grant Ave Ste 238, Novato, CA 94945RIA
CRD#: 330807
NOVATO, CA
Current
June 10, 2025 - Present
LPL FINANCIAL LLC
Office #1: 1500 Grant Ave. Ste. 238, Novato, CA 94945RIA
BD
CRD#: 6413
NOVATO, CA
Past
October 25, 2016 - September 30, 2024
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
Novato, CA
Past
June 17, 2016 - June 10, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
Novato, CA
Past
April 15, 2016 - June 17, 2016
PROTECTED INVESTORS OF AMERICA
BD
CRD#: 6082
NOVATO, 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".
KF
KETRON FINANCIAL LLC
KETRON FINANCIAL LLC
CRD#: 330807 / SEC#: 801-130222
RIA
Registered Investment Advisory firm - (5/6/2024 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(6/10/2025)
IAR
California(7/1/2024)
RR
California(6/10/2025)
RR
Colorado(6/10/2025)
RR
Connecticut(6/10/2025)
RR
Georgia(6/10/2025)
RR
Hawaii(6/10/2025)
RR
Idaho(6/10/2025)
RR
Indiana(6/10/2025)
RR
Iowa(6/10/2025)
RR
Louisiana(6/10/2025)
RR
Massachusetts(6/10/2025)
RR
Michigan(6/10/2025)
RR
Missouri(6/10/2025)
RR
Montana(6/10/2025)
RR
Nebraska(6/10/2025)
RR
Nevada(6/10/2025)
RR
New Mexico(6/10/2025)
RR
Oregon(6/10/2025)
RR
Pennsylvania(6/10/2025)
RR
Tennessee(6/10/2025)
RR
Texas(6/10/2025)
RR
Utah(6/10/2025)
RR
Vermont(6/10/2025)
RR
Washington(6/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KETRON FINANCIAL LLC
KETRON FINANCIAL LLC
CRD#: 330807 / SEC#: 801-130222
RIA
Registered Investment Advisory firm - (5/6/2024 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1500 Grant Ave Ste 238, Novato, CA 94945
Mailing Address
Phone number
(415) 892-0928
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 680 |
| AUM (Assets Under Management) | $ 300,000,000 |
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
KETRON FINANCIAL LLC
CRD#: 330807Novato, CA 94945TRUST BUT VERIFY
Monitor Courtenay Wise
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
