KJ
Katie Junk
SWEENEY & MICHEL
Chico, CA 95926
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CRD#: 6942651
KJ
Professional summary
Katie Junk is a registered financial advisor currently at SWEENEY & MICHEL, LLC located in Chico, California.
Katie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Katie has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 name of the other business; SELF-EMPLOYED whether the business is investment-related; NOT INVESTMENT RELATED the address of the other business; 199 COHASSET ROAD, SUITE 100, CHICO, CA 95926 the nature of the other business; INSURANCE your position; title, or relationship with the other business; AGENT the start date of your relationship; 06/2018 the approximate number of hours/month you devote to the other business; 2 HOURS PER MONTH the number of hours you devote to the other business during securities trading hours; 2 HOURS DURING TRADING HOURS and briefly describe your duties relating to the other business; NON-COMMISIONABLE TERM LIFE AND DISABLITY INSURANCE SALES.
CRS (Client Relationship Summary) - RIA
Click below to view Katie Junk'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
July 6, 2020 - Present
SWEENEY & MICHEL, LLC
Office #1: 196 Cohasset Road Suite 100, Chico, CA 95926RIA
CRD#: 282595
Chico, CA
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".
S&
SWEENEY & MICHEL, LLC
ASSET MANAGEMENT GROUP SWEENEY & MICHEL | THE SWEENEY & MICHEL TEAM | SWEENEY & MICHEL, LLC | SWEENEY & MICHEL AMG
CRD#: 282595 / SEC#: 801-113350
RIA
Registered Investment Advisory firm - (6/1/2018 Approved)California
Registered Investment Advisory firm - (3/3/2019 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
California(7/6/2020)
Current Firm
S&
SWEENEY & MICHEL, LLC
ASSET MANAGEMENT GROUP SWEENEY & MICHEL | THE SWEENEY & MICHEL TEAM | SWEENEY & MICHEL, LLC | SWEENEY & MICHEL AMG
CRD#: 282595 / SEC#: 801-113350
RIA
Registered Investment Advisory firm - (6/1/2018 Approved)California
Registered Investment Advisory firm - (3/3/2019 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
196 Cohasset Road Suite 100, Chico, CA 95926
Mailing Address
Phone number
(530) 487-1777
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,418 |
| AUM (Assets Under Management) | $ 625,915,288 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
