KJ
Kathryn Johnston
STONE HOUSE INVESTMENT MANAGEMENT
Tunkhannock, PA 18657
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CRD#: 7305337
KJ
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.
1) 02/09/2023 - MassMutual - Non-Variable Insurance - Selling: Life and long term care insurance - Investment related - 5 hours per month - Start date: 02/07/2023. 2) 01/27/2023 - C&N Investment Services - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn Johnston'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
April 25, 2023 - Present
STONE HOUSE INVESTMENT MANAGEMENT, LLC
Office #1: 80 West Tioga Street, Tunkhannock, PA 18657RIA
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
BD
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
BD
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
BD
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".
SH
STONE HOUSE INVESTMENT MANAGEMENT, LLC
RJB PLANNING & ADVISORY, INC. | STONE HOUSE WEALTH MANAGEMENT, LLC | STONE HOUSE RETIREMENT INCOME PLANNERS | STONE HOUSE INVESTMENT MANAGEMENT, LLC | ROBERT R. BROWN, CFP @ PLANNING & ADVISORY, INC. | ROBERT J. BROWN, CFP PLANNING & ADVISORY, INC.
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)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)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/2/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
SH
STONE HOUSE INVESTMENT MANAGEMENT, LLC
RJB PLANNING & ADVISORY, INC. | STONE HOUSE WEALTH MANAGEMENT, LLC | STONE HOUSE RETIREMENT INCOME PLANNERS | STONE HOUSE INVESTMENT MANAGEMENT, LLC | ROBERT R. BROWN, CFP @ PLANNING & ADVISORY, INC. | ROBERT J. BROWN, CFP PLANNING & ADVISORY, INC.
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)Upgrade to AdvisorCheck Premium
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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
16
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,461 |
| AUM (Assets Under Management) | $ 669,913,449 |
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.
