Katelyn M. Gustenhoven

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CRD#: 6935255

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.

Katelyn Morley Gustenhoven, who also goes by Katelyn Jean Morley, was a registered financial professional .

Katelyn is a previously registered financial professional and started their career in finance in 2020. Katelyn had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Katelyn Jean Morley

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 30, 2021 - November 26, 2024

SHADE TREE ADVISORS LLC

RIA

CRD#: 289905

SARATOGA SPRINGS, NY

Past

January 4, 2021 - August 12, 2021

GOLDMAN SACHS & CO. LLC

CRD#: 361

COHOES, NY

Past

October 26, 2020 - August 12, 2021

GOLDMAN SACHS WEALTH SERVICES, L.P.

RIA

CRD#: 106693

COHOES, NY

Past

September 12, 2020 - January 4, 2021

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

COHOES, NY

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".

SHADE TREE ADVISORS LLC

HIGH ROCK ADVISORS LLC | SHADE TREE ADVISORS LLC | SHADE TREE ADVISORS

CRD#: 289905 / SEC#: 801-111885

RIA

Registered Investment Advisory firm - (10/20/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/23/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/12/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/24/2020

Securities Industry Essentials Examination

Current Firm

SHADE TREE ADVISORS LLC

HIGH ROCK ADVISORS LLC | SHADE TREE ADVISORS LLC | SHADE TREE ADVISORS

CRD#: 289905 / SEC#: 801-111885

RIA

Registered Investment Advisory firm - (10/20/2017 Approved)

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Contact information

Main Address

19 Railroad Place Suite 301, Saratoga Springs, NY 12866

Mailing Address

Phone number

(518) 290-9460

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHADE TREE ADVISORS LLC ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	124
AUM (Assets Under Management)	$ 1,025,542,386

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2024	Cover Page	Report
01/02/2024	Cover Page	Report
11/28/2022	Cover Page	Report

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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Katelyn M. Gustenhoven

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SHADE TREE ADVISORS LLC

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS WEALTH SERVICES, L.P.

MERCER ALLIED COMPANY, L.P.

Primary Firm SEC Registration

SHADE TREE ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/23/2020

Series 7TO

Date: 9/12/2020

SIE

Date: 7/24/2020

Current Firm

SHADE TREE ADVISORS LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SHADE TREE ADVISORS LLC

TRUST BUT VERIFY

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