Best Investors Account Sign in
Inactive

Kathleen J Owens

Aurora Financial Planning & Investment Management LLC

Scottsdale, AZ

CRD 6145811

Claim This Profile
Employer firm

Aurora Financial Planning & Investment Management LLC CRD 291658

$1.11M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Educational seminars

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

Current Employers
Aurora Financial Planning & Investment Management Llc

5635 N. Scottsdale Road, Suite 170, Scottsdale, AZ 85250 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-01-03
  • AZ RA
    APPROVED
    Since 2024-01-03

Branch Locations

5635 N Scottsdale Road Suite 170, Scottsdale, AZ 85250 • 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
OrganizationCityStateFromTo
Alta Pacific Wealth Management Llc Mission Viejo CA 03/2014 07/2019
Aurora Financial Planning & Investment Management Llc Scottsdale AZ 01/2018 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-05
  • S66 Uniform Combined State Law Examination
    2013-03-05
Other Names
  • Kathleen Joyce Owens
  • Kathleen Owens Simonetti
  • Kathleen T Owens

View on SEC IAPD

Nearby Firms

BRIDGELIGHT CAPITAL LLC
MERCER GLOBAL ADVISORS INC.
LPL FINANCIAL LLC

Nearby Investors

GARY TODD STRINGER
SHAUN ELIZABETH BRACKEN
KENNETH ROY BLACKBURN

Nearby Offices

BRIDGELIGHT CAPITAL LLC · SCOTTSDALE, AZ
MERCER GLOBAL ADVISORS INC. · Scottsdale, AZ
LPL FINANCIAL LLC · SCOTTSDALE, AZ

More in Scottsdale, AZ

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor