Best Investors Account Sign in
Inactive

Kathleen Ann Stepp

Stepp & Rothwell Inc

Overland Park, KS

Park City, UT

CRD 2206612

Claim This Profile
Employer firm

Stepp & Rothwell Inc CRD 107999

$1.06B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Stepp & Rothwell Inc

7300 College Boulevard Suite 100, Overland Park, KS 66210-2301 • United States

Current Registrations

AuthorityCategoryStatusDate
UT RA APPROVED 2020-09-11
KS RA APPROVED 1995-07-26
  • UT RA
    APPROVED
    Since 2020-09-11
  • KS RA
    APPROVED
    Since 1995-07-26

Branch Locations

7300 College Boulevard Suite 100, Overland Park, KS 66210-2301 • United States

Park City, UT • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Stepp & Rothwell, Inc. Overland Park KS 08/1992 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-01-07
  • S65 Uniform Investment Adviser Law Examination
    1992-01-07
Designations
  • Certified Financial Planner
Other Names
  • Kathleen Ann Pearson
  • Kathleen Ann Stepp Rothwell

View on SEC IAPD

Nearby Firms

MARINER
MARINER INDEPENDENT
MARINER WEALTH

Nearby Investors

ALANA DENNEY SCOTT
MARK RICHARD VLASIC
MATTHEW DOUGLAS FISHER

Nearby Offices

MARINER · OVERLAND PARK, KS
MARINER INDEPENDENT · OVERLAND PARK, KS
MARINER WEALTH · OVERLAND PARK, KS

More in Overland Park, KS

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor