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Kathryn Kettenhofen

Advisors Asset Management, Inc.

Princeton, NJ

Ada, MI

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Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2021-03-01
TX RA APPROVED 2021-03-01
  • MI RA
    APPROVED
    Since 2021-03-01
  • TX RA
    APPROVED
    Since 2021-03-01

Branch Locations

300 Carnegie Center Suite 100, Princeton, NJ 08540 • United States

Ada, MI • 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
Advisors Asset Management, Inc Monument CO 02/2015 04/2018
Nuveen Securities, Llc Chicago IL 04/2018 05/2019
Benjamin F Edwards St Louis MO 06/2019 02/2021
Advisors Asset Management, Inc Monument CO 03/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-02-08
  • S66 Uniform Combined State Law Examination
    2016-02-08
Other Names
  • Katie Clarkin
  • Katie Kettenhofen
  • Kathryn Ruth Clarkin
  • Kathryn Ruth Kettenhofen

View on SEC IAPD

Other Firms

BLACKROCK INVESTMENT MANAGEMENT, LLC
SONGBIRD CAPITAL, LLC
J.P. MORGAN SECURITIES LLC
SYSTEMATIC ALPHA INVESTMENTS, LLC
PNC WEALTH MANAGEMENT LLC
RBC CAPITAL MARKETS, LLC
WATERMARK GROUP, INC.
PRINCETON EQUITY GROUP

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DAVID WILLIAM SMITH
JOHN FRANCIS RYAN
ERICA DORAY SEREMETA
DUANE THOMAS LIEDL
MANUEL DAVID SEIDNER
RICHARD DALE WOLFE
MICHAEL JON HEILBRONN
ANGELA MARIE LIBRIZZI

Other Offices

BLACKROCK INVESTMENT MANAGEMENT, LLC · PRINCETON, NJ
SONGBIRD CAPITAL, LLC · PRINCETON, NJ
J.P. MORGAN SECURITIES LLC · Princeton, NJ
SYSTEMATIC ALPHA INVESTMENTS, LLC · PRINCETON, NJ
PNC WEALTH MANAGEMENT LLC · PRINCETON, NJ
RBC CAPITAL MARKETS, LLC · Princeton, NJ
WATERMARK GROUP, INC. · PRINCETON, NJ
PRINCETON EQUITY GROUP · PRINCETON, NJ

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