Katherine M. Espinosa
Professional summary
Katherine Marie Espinosa, CFP®, who also goes by Katherine Espinosa, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Corona Del Mar, California and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Katherine has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Marie Espinosa's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2020
Experience
May 6, 2022 - Present
MISSIONSQUARE RETIREMENT
May 6, 2022 - Present
MISSIONSQUARE INVESTMENT SERVICES
Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240January 15, 2019 - April 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2018 - April 25, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/6/2022)
(5/6/2022)
(5/6/2022)
(6/1/2022)
Exams
FINRA
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
Red Flags
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