Kathryn Gates

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

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

Current Employers

Employment History

• 06/2013 → 01/2021
  Morgan Stanley Smith Barney Llc
  Albany, NY
• 12/2017 → 01/2021
  Morgan Stanley Private Bank, N.A.
  New York, NY
• 01/2021 → 01/2025
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Latham, NY
• 01/2025 → 02/2025
  Osaic Wealth, Inc.
  Albany, NY
• 06/2025 → 07/2025
  Janney Montgomery Scott Llc
  Albany, NY
• 05/2025 → 04/2026
  Janney Montgomery Scott Llc
  Albany, NY
• 06/2026 → Present
  Lpl Financial
  Latham, NY

Previous Registrations

• 2025-06-30 → 2026-04-16
  Janney Montgomery Scott Llc
  Albany, NY
• 2025-01-22 → 2025-02-21
  Osaic Wealth, Inc.
  Albany, NY
• 2021-02-02 → 2025-01-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Latham, NY
• 2016-04-13 → 2021-02-08
  Morgan Stanley
  Latham, NY
  Albany, NY

Other Businesses

1. 06/2026 - Pachira Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related – 80 Hour(s)/Month – 76 Hour(s) During Trading – At Reported business location(s) – OBA Start Date: 6/17/2026

Exams

• S66 Uniform Combined State Law Examination
  2016-06-26
• S63 Uniform Securities Agent State Law Examination
  2011-11-04

Other Names

• Kathryn Tracey Johnson
• Kathryn Tracey Johnson
• Kathryn Johnson Gates