Kathryn Johnston

STONE HOUSE INVESTMENT MANAGEMENT

TUNKHANNOCK, PA 18657

CRD#: 7305337

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Professional summary

Kathryn Johnston is a registered financial advisor currently at STONE HOUSE INVESTMENT MANAGEMENT, LLC located in Tunkhannock, Pennsylvania.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Kathryn has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Johnston'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

April 25, 2023 - Present

STONE HOUSE INVESTMENT MANAGEMENT, LLC

Office #1: 80 West Tioga Street, Tunkhannock, PA 18657

RIA

CRD#: 139410

TUNKHANNOCK, PA

Past

March 1, 2023 - May 4, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAYRE, PA

Past

March 1, 2023 - May 4, 2023

LPL FINANCIAL LLC

CRD#: 6413

SAYRE, PA

Past

March 15, 2021 - March 1, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SAYRE, PA

Past

March 15, 2021 - March 1, 2023

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SAYRE, PA

Past

December 8, 2020 - March 11, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

VESTAL, NY

Past

November 2, 2020 - March 11, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

VESTAL, NY

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".

STONE HOUSE INVESTMENT MANAGEMENT, LLC

CRD#: 139410 / SEC#: 801-106971

RIA

Registered Investment Advisory firm - (12/17/2015 Approved)

New York

Registered Investment Advisory firm - (12/17/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/21/2015 Terminated)

Texas

Registered Investment Advisory firm - (12/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(4/25/2023)

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: 11/24/2020

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/2/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/28/2020

Securities Industry Essentials Examination

Current Firm

STONE HOUSE INVESTMENT MANAGEMENT, LLC

CRD#: 139410 / SEC#: 801-106971

RIA

Registered Investment Advisory firm - (12/17/2015 Approved)

New York

Registered Investment Advisory firm - (12/17/2015 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/21/2015 Terminated)

Texas

Registered Investment Advisory firm - (12/17/2015 Terminated)

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Contact information

Main Address

80 West Tioga Street, Tunkhannock, PA 18657

Mailing Address

Phone number

(570) 836-7020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STONE HOUSE INVESTMENT MANAGEMENT - FORM ADV2A 03/2026 (3/18/2026)

Regulatory assets under management

Total Number of Accounts	2,833
AUM (Assets Under Management)	$ 841,676,886

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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Advisor Monitoring

Firm Stability Insights

Kathryn Johnston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathryn Johnston's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

STONE HOUSE INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/24/2020

Series 7TO

Date: 11/2/2020

SIE

Date: 9/28/2020

Current Firm

STONE HOUSE INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONE HOUSE INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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