Kate Ellen Sweetman

Current Employers

Stratos Wealth Advisors Llc

3750 Park East Drive Suite 200, Beachwood, OH 44122 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2025-02-03

CA RA
APPROVED

Since 2025-02-03

Branch Locations

2829 Townsgate Rd., Suite 100, Westlake Village, CA 91361 • 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

Organization	City	State	From	To
Lpl Financial	San Diego	CA	06/2016	09/2024
Stratos Wealth Advisors, Llc	Westlake Village	CA	09/2024	Present

06/2016 → 09/2024

Lpl Financial

San Diego, CA
09/2024 → Present

Stratos Wealth Advisors, Llc

Westlake Village, CA

Other Businesses

07/14/2025 - A. Carmi Financial, Inc. (DBA for Stratos Business) - Address: 2829 Townsgate Rd. Suite 100 Westlake Village, CA 91361 - Position: Practice Manager - Number of hours/devoted during business hours: 160 - Description: Financial Services

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-02-03
S63	Uniform Securities Agent State Law Examination	2014-03-26

S65 Uniform Investment Adviser Law Examination

2025-02-03
S63 Uniform Securities Agent State Law Examination

2014-03-26

Other Names

Kate Ellen Lebaron

View on SEC IAPD

Current Employers

Stratos Wealth Advisors Llc

Disclosures

Employment History

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

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