Kate N. Mbonu
STRATEGIC ADVISERS LLC | Investment Solutions Representative III
LAUREL, MD
Some features on this profile are disabled
CRD#: 7181982
Professional summary
Kate Ngozi Mbonu, who also goes by Kate Ngozi Eze, Kate N Mbonu, Kate Ngozi Mbonu, Kate Mbonu, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Laurel, Maryland and FIDELITY BROKERAGE SERVICES LLC located in Westlake, Texas.
Kate is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Kate has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Biography
As your Investment Consultant, I will partner with you to understand your short- and long-term goals and to help you build a financial plan that is customized to meet your unique needs. Forming strong relationships with my clients and their families is of the utmost importance to me and I work hard to maintain a deep level of trust, reliability, and competency.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kate Ngozi Eze | Kate N Mbonu | Kate Ngozi Mbonu | Kate Mbonu
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.
OBA-112980|OrgNmn:International Hearts of Giving inc.|Org Addr:Laurel,Maryland,US|OBA Nature:To help give health access to |Invst Rel:N|Title:Director|Duties:To help cordinate my families acivities and their business. To organize a health fair or medical outreach in Nigeria once every year or wh|StrtDt:|TotHrs/mon:10|TrdHrs/mon:0|
CRS (Client Relationship Summary) - RIA
Click below to view Kate Ngozi Mbonu'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®
NoneEducation
University of Maryland
Graduate - MPH -MHA
2015
ESUT Business School
Master of Business Administration (MBA) - Management
2000
University of Nigeria Nsukka
B.Sc. - Mathematics & Economics
1988
Experience
Current
March 31, 2025 - Present
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
LAUREL, MD
Current
July 30, 2021 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: One Destiny Way, Westlake, TX 76262BD
CRD#: 7784
Westlake, TX
Past
August 10, 2021 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
COVINGTON, KY
Past
September 25, 2020 - July 9, 2021
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SILVER SPRING, MD
Past
February 17, 2020 - July 9, 2021
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
SILVER SPRING, MD
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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
Alabama(7/30/2021)
RR
Alaska(7/30/2021)
RR
Arizona(7/30/2021)
RR
Arkansas(7/30/2021)
RR
California(7/30/2021)
RR
Colorado(7/30/2021)
RR
Connecticut(7/30/2021)
RR
Delaware(7/30/2021)
RR
District of Columbia(7/30/2021)
RR
Florida(7/30/2021)
RR
Georgia(7/30/2021)
RR
Hawaii(7/30/2021)
RR
Idaho(7/30/2021)
RR
Illinois(7/30/2021)
RR
Indiana(7/30/2021)
RR
Iowa(7/30/2021)
RR
Kansas(7/30/2021)
RR
Kentucky(7/30/2021)
RR
Louisiana(7/30/2021)
RR
Maine(7/30/2021)
RR
Maryland(7/30/2021)
IAR
Maryland(3/31/2025)
RR
Massachusetts(7/30/2021)
RR
Michigan(7/30/2021)
RR
Minnesota(7/30/2021)
RR
Mississippi(7/30/2021)
RR
Missouri(7/30/2021)
RR
Montana(7/30/2021)
RR
Nebraska(7/30/2021)
RR
Nevada(7/30/2021)
RR
New Hampshire(7/30/2021)
RR
New Jersey(7/30/2021)
RR
New Mexico(7/30/2021)
RR
New York(7/30/2021)
RR
North Carolina(7/30/2021)
RR
North Dakota(7/30/2021)
RR
Ohio(8/2/2021)
RR
Oklahoma(7/30/2021)
RR
Oregon(7/30/2021)
RR
Pennsylvania(7/30/2021)
RR
Puerto Rico(7/30/2021)
RR
Rhode Island(7/30/2021)
RR
South Carolina(7/30/2021)
RR
South Dakota(7/30/2021)
RR
Tennessee(7/30/2021)
RR
Texas(7/30/2021)
IAR
Texas(3/31/2025)
RR
Utah(7/30/2021)
RR
Vermont(7/30/2021)
RR
Virgin Islands(7/30/2021)
RR
Virginia(7/30/2021)
RR
Washington(7/30/2021)
RR
West Virginia(7/30/2021)
RR
Wisconsin(7/30/2021)
RR
Wyoming(7/30/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/12/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 2/17/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange
Current Firm
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM
CRD#: 104555 / SEC#: 801-13243
RIA
Registered Investment Advisory firm - (8/11/1977 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
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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
STRATEGIC ADVISERS LLC
Investment Solutions Representative IIICRD#: 104555Laurel, MDTRUST BUT VERIFY
Monitor Kate Mbonu
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
