Kathleen Ann Adams

Employer firm

Second 50 Financial CRD 318626

$342M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1999 → 02/2021
  Various Insurance Carriers
  Manhattan Beach, CA
• 11/2012 → 02/2021
  Signature Estate & Investment Advisors, Llc
  Redondo Beach, CA
• 12/2012 → 11/2018
  Jhfn Sii
  Redondo Beach, CA
• 11/2018 → 02/2021
  Royal Alliance Associates, Inc.
  Redondo Beach, CA
• 02/2021 → 06/2022
  Ashton Thomas Private Wealth, Llc
  Scottsdale, AZ
• 02/2021 → 06/2022
  Ashton Thomas Insurance Agency
  Scottsdale, AZ
• 01/2021 → Present
  Second 50 Financial, Llc
  Manhattan Beach, CA

Previous Registrations

• 2021-02-02 → 2022-06-30
  Ashton Thomas Private Wealth
  Manhattan Beach, CA
• 2012-11-05 → 2021-02-02
  Seia
  Redondo Beach, CA
  Los Angeles, CA
• 1999-10-21 → 2012-11-08
  Waddell & Reed
  Manhattan Beach, CA
  Torrance, CA
  Manhattan Beach, CA

Other Businesses

1) NAME OF OTHER BUSINESS: KATHLEEN A. ADAMS (INDIVIDUALLY); INVESTMENT RELATED BUSINESS: YES; ADDRESS OF OTHER BUSINESS: 111 N. SEPULVEDA BOULEVARD, SUITE 300, MANHATTAN BEACH, CA; NATURE OF OTHER BUSINESS: INSURANCE SALES AND SERVICE; POSITION: LICENSED INSURANCE AGENT; TITLE OR RELATIONSHIP WITH OTHER BUSINESS: OWNER SOLE PROPRIETOR; START DATE: 10/1999; TOTAL NUMBER OF HOURS: 5; TOTAL NUMBER OF HOURS DURING SECURITIES TRADING HOURS:3; DESCRIPTION: PROVIDE INSURANCE SALES AND SERVICE. 2) NAME OF OTHER BUSINESS: KATHLEEN A. ADAMS (INDIVIDUALLY); INVESTMENT RELATED BUSINESS: NO; ADDRESS OF OTHER BUSINESS: 111 N. SEPULVEDA BOULEVARD, SUITE 300, MANHATTAN BEACH, CA; NATURE OF OTHER BUSINESS: AUTHOR; POSITION: AUTHOR; TITLE OR RELATIONSHIP WITH OTHER BUSINESS: OWNER/AUTHOR; START DATE: 01/2014; TOTAL NUMBER OF HOURS: 4; TOTAL NUMBER OF HOURS DURING SECURITIES TRADING HOURS:0; DESCRIPTION: AUTHOR OF INVESTMENT RELATED BOOK.

Exams

• S66 Uniform Combined State Law Examination
  1999-10-14

Designations

• Certified Financial Planner

Other Names

• Kathleen Adams