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11011 King Street Suite 150, Overland Park, KS 66210 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2025-01-10 |
| TX | RA | APPROVED | 2024-06-03 |
Branch Locations
Huntsville, AL • United States
11011 King Street Suite 150, Overland Park, KS 66210 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc | Huntsville | AL | 07/2015 | 03/2017 |
| Mml Investors | Huntsville | AL | 03/2017 | 07/2019 |
| Massmutual Life Insurance Co | Huntsville | AL | 07/2016 | 07/2019 |
| Redhawk Wealth Advisors | Minneapolis | MN | 07/2019 | 05/2024 |
| Msi Financial | Huntsville | AL | 08/2015 | 03/2017 |
| Redhawk Wealth Advisors | Huntsville | AL | 07/2019 | 05/2024 |
| Rca Wealth Strategies Llc | Huntsville | AL | 06/2024 | Present |
1) 9/17/2021- Legacy Lock. Estate Plan Coordinator. Offering estate planning services for clients. Not investment related. Spends less than 10 hours per month. Kathleen Sanford Position: Agent, Nature: Insurance sales, Investment-related: Yes, Number of Hours: 10, Securities Trading Hours: 3, Address: 4100 Market Street SW, Suite 100, Huntsville, AL 35808 2) FEDERAL BENEFITS INFORMATION CENTER. START DATE: 11/02/2023. NOT INVESTMENT RELATED. 4100 MARKET STREET SW SUITE 100 HUNTSVILLE, AL 35808. HELP FEDERAL EMPLOYEES WITH RETIREMENT PLANNING. POSITION: CHFEBC SM. DUTIES: EDUCATING FEDERAL EMPLOYEES REGARDING RETIREMENT PLANNING. <10 HOURS PER WEEK DURING SECURITIES TRADING HOURS. 3) Kathleen Nina Sanford is an independent producer/Educator for Federal Benefits Information Center - helping active or retiring Federal employees understand their benefits. Commissions for annuities and life insurance choices paid directly from each insurance company to her. 4) Kathleen Nina Sanford is a Sales agent at Legacy Lock; Investment related: No; Location: 1234 S Power Rd ste #101 Mesa Az 85206; Start date: 2022-05-01; Description: Help facilitate clients in Trusts; Responsibilities Duties: Facilitate; 0 Hours per month during trading hours; 0 Hours per month outside trading hours; 1% of total yearly compensation derived from the business. 5) Kathleen Nina Sanford is a Regional Educator and Insurance agent at FBIC; Investment related: No; Location: 9040 Town Center Pkwy Lakewood Ranch Florida 34202; Start date: 2025-06-01; Description: Marketing organization that specializes in educating federal employees on their benefits now and for retirement; Responsibilities Duties: Meeting with federal employees and educating them on how to best use their benefits today and for retirement;16 Hours per month during trading hours; 16 Hours per month outside trading hours; 10% of total yearly compensation derived from the business.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 2005-06-09 |
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