Kathryn A. Prestwood

PENNEY FINANCIAL

HOUSTON, TX 77024-4563

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CRD#: 7331191

Professional summary

Kathryn A Prestwood, CFP®, who also goes by Kali A Staples, Kathryn A Staples, is a registered financial advisor currently at PENNEY FINANCIAL located in Houston, Texas.

Kathryn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Kathryn has worked at 1 firm .

Core Areas of Focus

AUM

High Net Worth Client Needs

Hourly

Retirement Planning & Distribution Rules

Tax Planning

Women's Financial Planning Issues

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Education Planning

What is your minimum asset requirement?

Are you a "fiduciary"?

Yes

Aliases

Kali A Staples | Kathryn A Staples

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 A Prestwood'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

January 21, 2021 - Present

PENNEY FINANCIAL

Office #1: 825 Town And Country Lane 12th Fl, Houston, TX 77024-4563

RIA

CRD#: 282084

HOUSTON, 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".

PENNEY FINANCIAL

PENNEY FINANCIAL | PENNEY FINANCIAL, LLC

CRD#: 282084 / SEC#: 801-122353

RIA

Registered Investment Advisory firm - (9/20/2021 Approved)

Louisiana

Registered Investment Advisory firm - (12/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/2/2021 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

Louisiana
(1/21/2021)

IAR

Texas
(1/21/2021)

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

Current Firm

PENNEY FINANCIAL

PENNEY FINANCIAL | PENNEY FINANCIAL, LLC

CRD#: 282084 / SEC#: 801-122353

RIA

Registered Investment Advisory firm - (9/20/2021 Approved)

Louisiana

Registered Investment Advisory firm - (12/6/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/2/2021 Terminated)

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Contact information

Main Address

825 Town And Country Lane 12th Fl, Houston, TX 77024-4563

Mailing Address

Phone number

(713) 300-5165

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PENNEY FINANCIAL FORM ADV PART 2 BROCHURE (10/13/2025)

Regulatory assets under management

Total Number of Accounts	397
AUM (Assets Under Management)	$ 236,084,603

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.

Contact information

(xxx) xxx-xxxx

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Kathryn A. Prestwood

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PENNEY FINANCIAL

Primary Firm SEC Registration

PENNEY FINANCIAL

State Registrations and Notice Filings

Exams

Current Firm

PENNEY FINANCIAL

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENNEY FINANCIAL

TRUST BUT VERIFY

Contact information

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