Kathryn Anne Lindfelt

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-01-14
CA	RA	APPROVED	2012-01-11

TX RA
APPROVED

Since 2022-01-14
CA RA
APPROVED

Since 2012-01-11

Branch Locations

Campbell, CA • United States

99 Almaden Blvd #925, San Jose, CA 95113 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	San Jose	CA	08/2011	Present
Sequoia Wealth Advisors & Investment Management, Inc.	San Jose	CA	11/2016	Present

08/2011 → Present

Lpl Financial, Llc

San Jose, CA
11/2016 → Present

Sequoia Wealth Advisors & Investment Management, Inc.

San Jose, CA

Previous Registrations

2016-11-28 → 2022-09-17

Sequoia Wealth Advisors & Investment Management, Inc.

San Jose, CA
2007-12-19 → 2010-12-22

Lpl Financial Llc

San Jose, CA

Other Businesses

1. 1/4/2012: DBA W/LEGAL ENTITY - SEQUOIA WEALTH ADVISORS AND INVESTMENT MANAGEMENT - SAN JOSE, CA. 2. 09/07/2023 - Sequoia Wealth Advisors and Investment Management, INC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/01/2011 - 160 Hours Per Month/ 100 Hours During Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-12-17

S66 Uniform Combined State Law Examination

2007-12-17

Designations

Other Names

Kathryn Anne Frampton
Katie Frampton
Katie Lindfelt

View on SEC IAPD