Kathryn M. Cook
Professional summary
Kathryn Marie Cook, who also goes by Kathryn Cook, Katie Marie Cook, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Kathryn has worked at 2 firms and has passed the SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn Marie Cook's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 18, 2024 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735May 4, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/18/2024)
Exams
FINRA
Current Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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