Catherine Elizabeth Stieber

Employer firm

Kestra Advisory Services, LLC CRD 283330

$79.8B regulatory AUM 6,392 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• 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

• 11/2007 → 12/2020
  Shawn Okumura
  San Jose, CA
• 01/2009 → 03/2020
  Various Insurance Carriers For W&R Insurance Agencies
  San Jose, CA
• 04/2016 → 12/2020
  Kestra Financial Services, Inc.
  Austin, TX
• 09/2022 → Present
  Kestra Investment Services, Llc
  San Jose, CA
• 12/2020 → 09/2022
  Unemployed
  Morgan Hill, CA
• 09/2022 → Present
  Kestra Advisory Services, Llc
  San Jose, CA

Previous Registrations

• 2016-04-18 → 2020-12-31
  Kestra Advisory Services, Llc
  San Jose, CA
• 2012-09-17 → 2016-09-22
  Kestra Investment Services, Llc
  San Jose, CA
• 2011-11-23 → 2012-09-19
  Waddell & Reed
  Los Gatos, CA
  Seattle, WA

Other Businesses

TRANSITIONS WEALTH ADVISORS POSITION: Scheduler NATURE: Registered Field Assistant INVESTMENT RELATED: Yes NUMBER OF HOURS: 48 SECURITIES TRADING HOURS: 48 START DATE: 09/01/2022 ADDRESS: 1100 Lincoln Avenue, Suite 241, San Jose CA 95125, United States DESCRIPTION: Manage team calendar, schedule client meetings and phone calls. KESTRA ADVISORY SERVICES, LLC POSITION: Scheduler NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 48 SECURITIES TRADING HOURS: 48 START DATE: 09/01/2022 ADDRESS: 5707 SW Parkway, Building 2 Suite 400, Austin TX 78735, United States DESCRIPTION: Manage team calendar for Transitions Wealth Advisors and schedule client meetings and phone calls.

Exams

• S66 Uniform Combined State Law Examination
  2009-11-24

Other Names

• Catherine Elizabeth Powell
• Catherine Elizabeth Powell
• Catherine Powell