Katherine Flores is a registered investment advisor, based in Costa Mesa, CA, with 43 years of industry experience.
Location
3200 Park Center Dr Ste 1240, Costa Mesa, CA, 92626
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Regulatory History (2)
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Regulatory
May 1998Final
Customer Dispute
November 1993Settled
Other Business Activities
Katherine is an investment advisor representative at Sovran Advisors LLC and a financial advisor at Direct Path Financial Planning Investments, dedicating full-time hours to each. She also owns Kathy Flores Wealth Management Inc, a sub-S corporation for receiving income and filing taxes, which requires minimal time.
Employment History
Current Registrations
Sovran Advisors, LLC
February 2024 - Present · 2 yrs 5 mos
Cetera Investment Advisers LLC
February 2024 - Present · 2 yrs 5 mos
Cetera Wealth Services, LLCBroker
February 2024 - Present · 2 yrs 5 mos
Previous Registrations
MML Investors Services, LLCBroker
March 2017 - March 2024 · 7 yrs
MML Investors Services, LLC
March 2017 - March 2024 · 7 yrs
Msi Financial Services, INC.
June 2015 - March 2017 · 1 yr 9 mos
Msi Financial Services, INC.Broker
June 2015 - March 2017 · 1 yr 9 mos
LPL Financial LLC
November 2005 - June 2015 · 9 yrs 7 mos
LPL Financial LLCBroker
November 2005 - June 2015 · 9 yrs 7 mos
A. G. Edwards & Sons, INC.
July 1997 - November 2005 · 8 yrs 4 mos
A. G. Edwards & Sons, INC.Broker
December 1992 - November 2005 · 12 yrs 11 mos
Lehman Brothers INC.Broker
December 1990 - December 1992 · 2 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1984 - December 1990 · 6 yrs 8 mos
Wzw Financial Services, INC.Broker
July 1983 - June 1984 · 11 mos
Pruco Securities CorporationBroker
November 1982 - August 1983 · 9 mos
State Registrations13 states
AZCACOFLHIIDNCNVPASCTXUTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.