Katharine Anne Charton

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-01-12

NY RA
APPROVED

Since 2024-01-12

Branch Locations

18 Corporate Woods Blvd Fl 2, Albany, NY 12211 • 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
Empire Asset Management Group, Llc	Albany	NY	10/2011	01/2017
Cetera Advisor Networks Llc	El Segundo	CA	02/2016	01/2017
Cambridge Investment Research, Inc.	Fairfield	IA	10/2017	11/2020
Unemployed	Troy	NY	02/2017	09/2017
Lpl Financial, Llc	Albany	NY	11/2020	Present

10/2011 → 01/2017

Empire Asset Management Group, Llc

Albany, NY
02/2016 → 01/2017

Cetera Advisor Networks Llc

El Segundo, CA
10/2017 → 11/2020

Cambridge Investment Research, Inc.

Fairfield, IA
02/2017 → 09/2017

Unemployed

Troy, NY
11/2020 → Present

Lpl Financial, Llc

Albany, NY

Other Businesses

1) 11/2020 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - ROSEMONT FINANCIAL GROUP - INVESTMENT RELATED - ALBANY, NY 12211 2) 01/2020 - TAX PREP/ACCOUNTING/CPA - KATE CHARTON, EA - 75% - INVESTMENT RELATED - NISKAYUNA, NY 12309 3) 09/2020 - ACT IN FIDUCIARY CAPACITY - POA MELISSA WIERZBICKI, MOTHER-IN-LAW - 10% - INVESTMENT RELATED - NISKAYUNA, NY 12309

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-01-11
S63	Uniform Securities Agent State Law Examination	2014-06-30

S65 Uniform Investment Adviser Law Examination

2024-01-11
S63 Uniform Securities Agent State Law Examination

2014-06-30

Other Names

Katharine Anne Hefti

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

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