Kathleen Finn
Kathleen Finn is a CFP-designated registered investment advisor at Catoctin Ridge Wealth Partner, based in Thurmont, MD, with 19 years of industry experience. Kathleen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 706 clients with $100M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
For investment management services, you'll be charged an annual fee based on a percentage of the total value of your investments. The exact rate can be negotiated with the custodian of your assets. You'll also pay fees for operational services like custodial fees and account maintenance fees. Catoctin receives revenue by marking up the cost of these services, which incentivizes them to place accounts with that custodian.
Location
209 E Main St., Thurmont, MD, 21788
Get directionsHistory
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 is an insurance agent for life insurance, fixed annuities, disability, and long-term care, dedicating a few hours per week to this activity. She is also an enrolled agent and tax preparer, spending about half her time preparing tax returns and providing tax planning services.
Employment History
Current Registrations
Catoctin Ridge Wealth Partner
Previous Registrations
Finn Financial Advisory Group, INC.
H. Beck, INC.
A. G. Edwards & Sons, INC.
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.