AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
KC

Kathryn E. Casey

FROST INVESTMENT SERVICES
San Antonio, TX 78205
Some features on this profile are disabled
CRD#: 7038703
KC

Professional summary

Kathryn Elizabeth Casey, who also goes by Kathryn E Casey, Katy Casey, is a registered financial advisor currently at FROST INVESTMENT SERVICES located in San Antonio, Texas and FROST BROKERAGE SERVICES, INC. located in San Antonio, Texas.

Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Kathryn has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathryn E Casey | Katy Casey

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) - RIA

Click below to view Kathryn Elizabeth Casey'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®
None

Experience

Current

January 23, 2025 - Present

FROST INVESTMENT SERVICES

Office #1: 111 West Houston Street, San Antonio, TX 78205
RIA
CRD#: 286129
San Antonio, TX
Current

January 24, 2025 - Present

FROST BROKERAGE SERVICES, INC.

Office #1: 111 W Houston Ste 100, San Antonio, TX 78205
BD
CRD#: 17465
SAN ANTONIO, TX
Past

October 11, 2022 - January 31, 2025

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
San Antonio, TX
Past

February 11, 2022 - January 31, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
San Antonio, TX

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".
FI
FROST INVESTMENT SERVICES
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA
Registered Investment Advisory firm - (1/3/2017 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(10/2/2025)
RR
Florida
(3/26/2025)
RR
Georgia
(6/18/2025)
RR
Idaho
(6/17/2025)
RR
Mississippi
(3/13/2025)
RR
South Carolina
(10/31/2025)
IAR
Texas
(1/23/2025)
RR
Texas
(1/24/2025)
RR
Virginia
(3/25/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/10/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/11/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/28/2023
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

FI
FROST INVESTMENT SERVICES
FROST INVESTMENT SERVICES | FROST INVESTMENT SERVICES, LLC

CRD#: 286129 / SEC#: 801-108754

RIA
Registered Investment Advisory firm - (1/3/2017 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
111 West Houston Street, San Antonio, TX 78205
Mailing Address
Po Box 2538, San Antonio, TX 78299
Phone number
(210) 220-5000
Established
Firm type
Fiscal year end
# of Employees
177

SEC notice filing (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIS FORM ADV PART 2A 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts3,179
AUM (Assets Under Management)$ 2,976,654,932

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/10/2024
Cover Page
Report
11/27/2023
Cover Page
Report
12/21/2022
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.

Company Information

FROST INVESTMENT SERVICES

CRD#: 286129San Antonio, TX 78205

TRUST BUT VERIFY

Monitor Kathryn Casey

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

CH
Christopher HallAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
San Antonio, TX
RA
Robert ArmendarizAdvisorCheck Check Mark
EAGLE STRATEGIES LLC
IAR
RR
SAN ANTONIO, TX
JO
Joe-ben O'banionAdvisorCheck Check Mark
TITLEIST ASSET MANAGEMENT, LLC
IAR
RR
SAN ANTONIO, TX
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.