Kathryn L. Frakes
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.
Kathryn Lee Frakes, CFP®, who also goes by Kathryn Hecker, Kathy Hecker, was a registered financial professional .
Kathryn is a previously registered financial professional and started their career in finance in 2017. Kathryn had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2016
Experience
January 13, 2017 - June 28, 2022
OMEGA WEALTH MANAGEMENT LLC
Primary Firm SEC Registration
OMEGA WEALTH MANAGEMENT LLC
CRD#: 132580 / SEC#: 801-112348
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OMEGA WEALTH MANAGEMENT LLC
CRD#: 132580 / SEC#: 801-112348
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 637 |
| AUM (Assets Under Management) | $ 259,020,290 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/25/2025 | ||
| 01/26/2024 | ||
| 10/25/2022 |
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.
