Katherine A. Brosnan

CARY FINANCIAL PLANNING

Cary, NC 27518

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CRD#: 7994008

Professional summary

Katherine Aimee Brosnan, who also goes by Katherine A Brosnan, is a registered financial advisor currently at CARY FINANCIAL PLANNING, LLC located in Cary, North Carolina.

Katherine is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Katherine has worked at 1 firm and has passed the Series 66 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine A Brosnan

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 Katherine Aimee Brosnan'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®

None

Experience

Current

October 28, 2024 - Present

CARY FINANCIAL PLANNING, LLC

Office #1: 1255 Crescent Green Suite 200, Cary, NC 27518

RIA

CRD#: 323662

Cary, NC

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

North Carolina
(10/28/2024)

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: 9/2/2023

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/12/2022

Securities Industry Essentials Examination

Current Firm

CARY FINANCIAL PLANNING, LLC

CRD#: 323662 / SEC#:

North Carolina

Registered Investment Advisory firm - (12/21/2022 Approved)

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Contact information

Main Address

1255 Crescent Green Suite 200, Cary, NC 27518

Mailing Address

Phone number

(919) 694-6945

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 14,607,079

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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Katherine A. Brosnan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Aimee Brosnan's CRS (Customer Relationship Summary).

Certified licenses

Experience

CARY FINANCIAL PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/2/2023

SIE

Date: 11/12/2022

Current Firm

CARY FINANCIAL PLANNING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CARY FINANCIAL PLANNING, LLC

TRUST BUT VERIFY

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