Inactive

Katherine Lee Fratone

LPl Financial LLC

CRD 6744894

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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:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2025-12-26
SC	RA	APPROVED	2025-12-26

NH RA
APPROVED

Since 2025-12-26
SC RA
APPROVED

Since 2025-12-26

Branch Locations

Loudon, NH • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
Valpey Financial Services, Llc	Concord	NH	11/2023	09/2025
Raymond James	St. Petersburg	FL	01/2017	10/2023
Celtic Adjusting Services	St. Peterburg	FL	11/2009	01/2017
Celtic Adjusting Services	St. Petersburg	FL	05/2019	Present
Lpl Financial Llc	Fort Mill	SC	09/2025	Present

11/2023 → 09/2025

Valpey Financial Services, Llc

Concord, NH
01/2017 → 10/2023

Raymond James

St. Petersburg, FL
11/2009 → 01/2017

Celtic Adjusting Services

St. Peterburg, FL
05/2019 → Present

Celtic Adjusting Services

St. Petersburg, FL
09/2025 → Present

Lpl Financial Llc

Fort Mill, SC

Previous Registrations

2024-09-27 → 2025-09-29

Valpey Financial Services Llc

Concord, NH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-09-21

S65 Uniform Investment Adviser Law Examination

2024-09-21

View on SEC IAPD

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