Katherine Ann Holcomb

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → 11/2016
  Wells Fargo Advisors Llc
  Rolling Hills Estates, CA
• 11/2016 → 06/2021
  Wells Fargo Clearing Services, Llc
  Rolling Hills Estates, CA
• 06/2021 → Present
  Lpl Financial
  Rolling Hills Estates, CA

Previous Registrations

• 2009-04-27 → 2021-06-28
  Wells Fargo Clearing Services, Llc
  Rolling Hills Estates, CA

Other Businesses

1) 6/2021 - DBA for LPL Business (entity for LPL business) - Arise Private Wealth - Investment Related - 100% - Rolling Hills Estates, CA 90275 2) 3/2014 - Real Estate Rental - Katherine & Mitchell Holcomb - Investment Related - 1343 14th St San Pedro, CA 90732- 3909

Exams

• S66 Uniform Combined State Law Examination
  2008-12-01
• S63 Uniform Securities Agent State Law Examination
  1994-11-02

Other Names

• Katherine A Sharrar
• Katherine A Holcomb
• Kathy Holcomb