Katherine Flores
Katherine Flores is a registered investment advisor at Cetera Investment Advisers LLC, based in Costa Mesa, CA, with 43 years of industry experience. Katherine is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
3200 Park Center Dr Ste 1240, Costa Mesa, CA, 92626
Get directionsHistory
Regulatory History (2)
Regulatory
May 1998Customer Dispute
November 1993Other 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
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
MML Investors Services, LLCBroker
MML Investors Services, LLC
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Lehman Brothers INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Wzw Financial Services, INC.Broker
Pruco Securities CorporationBroker
State Registrations13 states
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
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