Kathleen Stapleton
Kathleen Stapleton is a CFP-designated registered investment advisor at Choice Financial & Insurance Services, INC., based in Brea, CA, with 39 years of industry experience. Kathleen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Investment Management, and 2 more. Their firm serves 38 clients with $7.2M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
CHOICE Financial uses third-party advisors for investment management. The total annual fee will not exceed 2.00% of your portfolio. This fee may be negotiable, and accounts within the same household may be combined for a reduced fee. The fees are billed quarterly in arrears. Fees for Orion Portfolio Solutions include administration, account maintenance, strategist, and separately managed account fees.
Location
633 S. Brea Blvd., #7, Brea, CA, 92821
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Kathleen works as an insurance agent for Choice Financial & Insurance Services, dedicating about half of her time to insurance sales and services. She also provides tax preparation services for the same company, spending about a quarter of her time on this activity, primarily from February to April.
Employment History
Current Registrations
Choice Financial & Insurance Services, INC.
Previous Registrations
Planmember Securities Corporation
Planmember Securities CorporationBroker
Gwn Securities INC.
Gwn Securities INC.Broker
Pmg Securities CorporationBroker
Legend Equities CorporationBroker
Legend Capital CorporationBroker
Gna Securities, INC.Broker
Ur Financial, INC.Broker
State Registrations1 state
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.