Kathi Ann Spurr

Employer firm

Spurr Financial Investment Services, LLC CRD 285683

$18.3M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)

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

Current Employers

Spurr Financial Investment Services, Llc

Alton Bay, NH • United States

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2023-04-21

NH RA
APPROVED

Since 2023-04-21

Branch Locations

Alton Bay, NH • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
H.D. Vest Investment Services, Inc.	Reading	MA	10/2005	01/2017
H.D. Vest Advisory Services, Inc.	Reading	MA	10/2005	01/2017
Spurr Financial Investment Services, Llc	Reading	MA	01/2017	Present
Ms Howells & Co	Reading	MA	01/2017	06/2018

10/2005 → 01/2017

H.D. Vest Investment Services, Inc.

Reading, MA
10/2005 → 01/2017

H.D. Vest Advisory Services, Inc.

Reading, MA
01/2017 → Present

Spurr Financial Investment Services, Llc

Reading, MA
01/2017 → 06/2018

Ms Howells & Co

Reading, MA

Previous Registrations

2006-01-09 → 2017-01-20

Avantax Advisory Services

Reading, MA
2001-08-17 → 2005-10-19

Lpl Financial Llc

Reading, MA

Other Businesses

JAN. 2017; MS INSENTRA, LLC., SCOTTSDALE, AZ; NON INVESTMENT RELATED; FIXED AND INDEX LIFE INSURANCE AND ANNUITY BUSINESS. LTC AND DI INSURANCE; MANAGING OWNER; INSURANC SALES; DEVOTE 3 HRS/MO DURING MARKET HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-01-11
S63	Uniform Securities Agent State Law Examination	1990-06-11

S65 Uniform Investment Adviser Law Examination

1994-01-11
S63 Uniform Securities Agent State Law Examination

1990-06-11

View on SEC IAPD