Tamaki N. Kern

CATALYST PRIVATE WEALTH

SAN FRANCISCO, CA 94104

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CRD#: 6642743

Professional summary

Tamaki Nakamura Kern, who also goes by Tamaki Kern, Maki Kern, Tamaki N. Kern, is a registered financial advisor currently at CATALYST PRIVATE WEALTH, LLC located in San Francisco, California.

Tamaki is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Tamaki has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tamaki Kern | Maki Kern | Tamaki N. Kern

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) - RIA

Click below to view Tamaki Nakamura Kern'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

March 27, 2023 - Present

CATALYST PRIVATE WEALTH, LLC

Office #1: 580 California St., Office 1639, San Francisco, CA 94104

RIA

CRD#: 305565

SAN FRANCISCO, CA

Past

March 6, 2017 - May 20, 2022

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

San Francisco, CA

Past

March 2, 2017 - May 20, 2022

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

SAN FRANCISCO, CA

Past

September 15, 2016 - March 3, 2017

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

July 8, 2016 - March 3, 2017

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

CATALYST PRIVATE WEALTH, LLC

CRD#: 305565 / SEC#: 801-117383

RIA

Registered Investment Advisory firm - (9/20/2019 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.

Highlighted states indicate IAR registrations

IAR

California
(3/27/2023)

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 66

Date: 9/12/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/2016

General Securities Representative Examination

Current Firm

CATALYST PRIVATE WEALTH, LLC

CRD#: 305565 / SEC#: 801-117383

RIA

Registered Investment Advisory firm - (9/20/2019 Approved)

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Contact information

Main Address

3 East Third Ave. Office 323, San Mateo, CA 94401

Mailing Address

Phone number

(415) 887-1430

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CATALYST PRIVATE WEALTH DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	487
AUM (Assets Under Management)	$ 330,573,403

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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Advisor Monitoring

Firm Stability Insights

Tamaki N. Kern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tamaki Nakamura Kern's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CATALYST PRIVATE WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/12/2016

SIE

Date: 10/1/2018

Series 7

Date: 7/8/2016

Current Firm

CATALYST PRIVATE WEALTH, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CATALYST PRIVATE WEALTH, LLC

TRUST BUT VERIFY

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