KF
KF
Kathryn Frank is a registered investment advisor, based in Magnolia, TX, with 20 years of industry experience.
Location
26422 Hardin Store Road, Magnolia, TX, 77354
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Regulatory History (2)
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Customer Dispute
July 2023Denied
Criminal
April 2020Final Disposition
Other Business ActivitiesSells Insurance
Kathryn sells fixed insurance products with various companies since 1999, dedicating about 10-20% of her time. She is also involved in real estate as a landlord, and holds leadership positions in several financial services and insurance-related businesses, including IPFS Planning where she is the owner/CEO.
Employment History
Current Registrations
Cetera Investment Advisers LLC
August 2024 - Present · 2 yrs 1 mo
Cetera Wealth Services, LLC
August 2024 - Present · 2 yrs 1 mo
Cetera Wealth Services, LLCBroker
August 2024 - Present · 2 yrs 1 mo
Previous Registrations
Next Financial Group, INC.Broker
July 2018 - August 2024 · 6 yrs 1 mo
Next Financial Group, INC.
July 2018 - August 2024 · 6 yrs 1 mo
Northwestern Mutual Investment Services,llc
February 2017 - May 2018 · 1 yr 3 mos
Northwestern Mutual Investment Services, LLCBroker
January 2017 - May 2018 · 1 yr 4 mos
Esi Financial Advisors
June 2015 - December 2016 · 1 yr 6 mos
Equity Services, INC.Broker
March 2015 - December 2016 · 1 yr 9 mos
Hornor, Townsend & Kent, INC.Broker
July 2013 - March 2015 · 1 yr 8 mos
Metlife Securities INC.Broker
May 2006 - December 2012 · 6 yrs 7 mos
Metropolitan Life Insurance CompanyBroker
May 2006 - July 2007 · 1 yr 2 mos
Thrivent Investment Management INC.Broker
March 2004 - June 2005 · 1 yr 3 mos
State Registrations17 states
AKALCACOFLINLAMIMNMTNJNYOKSCTXVAWI
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.