KM
Katherine D. Mccarthy
ROBINHOOD ASSET MANAGEMENT
Denver, CO
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CRD#: 7288340
KM
Professional summary
Katherine Diana Mccarthy, who also goes by Katherine Diana Mccarthy, Katherine Mccarthy, is a registered financial advisor currently at ROBINHOOD ASSET MANAGEMENT located in Denver, Colorado and ROBINHOOD FINANCIAL, LLC located in Denver, Colorado.
Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Katherine has worked at 3 firms and has passed the Series 66, Series 63, Series 3, Series 7TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katherine Diana Mccarthy | Katherine Mccarthy
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.
CRS (Client Relationship Summary) - RIA
Click below to view Katherine Diana Mccarthy'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
November 4, 2025 - Present
ROBINHOOD ASSET MANAGEMENT
RIA
CRD#: 323736
Denver, CO
Current
March 22, 2024 - Present
ROBINHOOD FINANCIAL, LLC
Office #1: 2373 15th St Suite 300, Denver, CO 80202BD
CRD#: 165998
Denver, CO
Past
January 21, 2021 - May 9, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENWOOD VILLAGE, CO
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".
RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
RIA
Registered Investment Advisory firm - (1/14/2025 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(3/22/2024)
RR
Alaska(3/22/2024)
RR
Arizona(3/22/2024)
RR
Arkansas(3/22/2024)
RR
California(3/22/2024)
IAR
California(11/4/2025)
RR
Colorado(3/22/2024)
IAR
Colorado(11/4/2025)
RR
Connecticut(3/22/2024)
RR
Delaware(3/22/2024)
RR
District of Columbia(3/22/2024)
RR
Florida(3/22/2024)
RR
Georgia(3/22/2024)
RR
Hawaii(3/22/2024)
RR
Idaho(3/22/2024)
RR
Illinois(3/22/2024)
RR
Indiana(3/22/2024)
RR
Iowa(3/22/2024)
RR
Kansas(3/22/2024)
RR
Kentucky(3/22/2024)
RR
Louisiana(3/22/2024)
RR
Maine(3/22/2024)
RR
Maryland(3/22/2024)
RR
Massachusetts(3/22/2024)
RR
Michigan(3/22/2024)
RR
Minnesota(3/22/2024)
RR
Mississippi(3/22/2024)
RR
Missouri(3/22/2024)
RR
Montana(3/22/2024)
RR
Nebraska(3/22/2024)
RR
Nevada(3/22/2024)
RR
New Hampshire(3/22/2024)
RR
New Jersey(3/22/2024)
RR
New Mexico(3/22/2024)
RR
New York(3/22/2024)
RR
North Carolina(3/22/2024)
RR
North Dakota(3/22/2024)
RR
Ohio(3/22/2024)
RR
Oklahoma(3/22/2024)
RR
Oregon(3/22/2024)
RR
Pennsylvania(3/22/2024)
RR
Puerto Rico(3/22/2024)
RR
Rhode Island(3/22/2024)
RR
South Carolina(3/22/2024)
RR
South Dakota(3/22/2024)
RR
Tennessee(3/22/2024)
RR
Texas(3/22/2024)
RR
Utah(3/22/2024)
RR
Vermont(3/22/2024)
RR
Virgin Islands(3/22/2024)
RR
Virginia(3/22/2024)
RR
Washington(3/22/2024)
RR
West Virginia(3/22/2024)
RR
Wisconsin(3/22/2024)
RR
Wyoming(3/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/21/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RA
ROBINHOOD ASSET MANAGEMENT
RAM | ROBINHOOD STRATEGIES | ROBINHOOD ASSET MANAGEMENT, LLC | ROBINHOOD ASSET MANAGEMENT
CRD#: 323736 / SEC#: 801-127371
RIA
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Contact information
Main Address
85 Willow Road, Menlo Park, CA 94025
Mailing Address
Phone number
650-940-2700 EXT 31450
Established
Firm type
Fiscal year end
# of Employees
56
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 81,015 |
| AUM (Assets Under Management) | $ 158,695,275 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
