Katherine M. Montagazzi

CONFLUENCE FINANCIAL PARTNERS

SEWICKLEY, PA 15143

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CRD#: 6958578

Professional summary

Katherine Mary Montagazzi, CFP®, who also goes by Katherine Mary Moldovan, Katie Mary Moldovan, is a registered financial advisor currently at CONFLUENCE FINANCIAL PARTNERS located in Sewickley, Pennsylvania.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Katherine has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine Mary Moldovan | Katie Mary Moldovan

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) Confluence Financial Partners; 732 E McMurray Rd McMurray PA 15317; Licensed Insurance Agent relating to insurance and/or annuity products & property and casualty insurance needs

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Mary Montagazzi's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

July 2, 2021 - Present

CONFLUENCE FINANCIAL PARTNERS

Office #1: 1605 Carmody Court Suite 100, Sewickley, PA 15143

RIA

CRD#: 311980

SEWICKLEY, PA

Past

June 7, 2019 - July 12, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

McMurray, PA

Past

April 22, 2019 - July 12, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

McMurray, PA

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".

CONFLUENCE FINANCIAL PARTNERS

CONFLUENCE FINANCIAL PARTNERS | CONFLUENCE WEALTH SERVICES, INC. | CONFLUENCE FINANCIAL PARTNERS, INC.

CRD#: 311980 / SEC#: 801-120711

RIA

Registered Investment Advisory firm - (4/5/2021 Approved)

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

Pennsylvania
(7/2/2021)

IAR

Texas
(10/29/2021)

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: 6/6/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/22/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/18/2019

Securities Industry Essentials Examination

Current Firm

CONFLUENCE FINANCIAL PARTNERS

CONFLUENCE FINANCIAL PARTNERS | CONFLUENCE WEALTH SERVICES, INC. | CONFLUENCE FINANCIAL PARTNERS, INC.

CRD#: 311980 / SEC#: 801-120711

RIA

Registered Investment Advisory firm - (4/5/2021 Approved)

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Contact information

Main Address

732 E Mcmurray Rd, Mcmurray, PA 15317

Mailing Address

Phone number

(724) 271-8801

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONFLUENCE PART 2A DISCLOSURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	12,924
AUM (Assets Under Management)	$ 5,454,175,362

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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Katherine M. Montagazzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Mary Montagazzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONFLUENCE FINANCIAL PARTNERS

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

CONFLUENCE FINANCIAL PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 6/6/2019

Series 7TO

Date: 4/22/2019

SIE

Date: 2/18/2019

Current Firm

CONFLUENCE FINANCIAL PARTNERS

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFLUENCE FINANCIAL PARTNERS

TRUST BUT VERIFY

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