KP
Katie L. Prosser
APO FINANCIAL SERVICES
SAINT GEORGE, UT 84770
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CRD#: 6728311
KP
Professional summary
Katie Lynn Prosser, who also goes by Katie Lynn Scott, is a registered financial advisor currently at APO FINANCIAL SERVICES, LLC located in Saint George, Utah.
Katie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Katie has worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Lynn Scott
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). SCOTT INSURANCE, INC. Investment Related?: NO Address of other business: 43 South 100 East, Suite 201, Saint George, UT 84790 Nature of other business: Insurance Sales Your position: Insurance Producer Start Date: 04/2012 How many hours you devote to the other business per month: 5 How many hours you devote to the other business during securities trading hours: 5
CRS (Client Relationship Summary) - RIA
Click below to view Katie Lynn Prosser'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
February 18, 2020 - Present
APO FINANCIAL SERVICES, LLC
Office #1: 555 S Bluff Street Suite 302, Saint George, UT 84770RIA
CRD#: 297647
SAINT GEORGE, UT
Past
November 16, 2016 - December 13, 2019
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
Saint George, UT
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".
AF
APO FINANCIAL SERVICES, LLC
APO FINANCIAL SERVICES, LLC | SCOTT FINANCIAL SERVICES | JOHN HART FINANCIAL | ASSURANCE FINANCIAL PARTNERS
CRD#: 297647 / SEC#: 801-118090
RIA
Registered Investment Advisory firm - (2/14/2020 Approved)Colorado
Registered Investment Advisory firm - (3/5/2020 Terminated)Texas
Registered Investment Advisory firm - (2/21/2020 Terminated)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
Utah(2/18/2020)
Current Firm
AF
APO FINANCIAL SERVICES, LLC
APO FINANCIAL SERVICES, LLC | SCOTT FINANCIAL SERVICES | JOHN HART FINANCIAL | ASSURANCE FINANCIAL PARTNERS
CRD#: 297647 / SEC#: 801-118090
RIA
Registered Investment Advisory firm - (2/14/2020 Approved)Colorado
Registered Investment Advisory firm - (3/5/2020 Terminated)Texas
Registered Investment Advisory firm - (2/21/2020 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10155 Westmoor Drive Suite 125, Westminster, CO 80021-2627
Mailing Address
Phone number
(720) 588-2000
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 929 |
| AUM (Assets Under Management) | $ 111,168,207 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
APO FINANCIAL SERVICES, LLC
CRD#: 297647Saint George, UT 84770TRUST BUT VERIFY
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