Kathleen Schroeder (CRD# 5731595) is an Investment Advisor Representative working at Babb Wealth Advisors LLC in Flagstaff, AZ and has over 8 years of experience in the finance industry. Kathleen Schroeder has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 5572046
Tci Wealth Advisors, Inc.
CRD# 4573669
Cross State Financial Group LLC
CRD# 4302561
Avantax Advisory Services
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Babb Wealth Advisors LLC | Flagstaff, AZ | Jul 2018 - Current | 5 |
| Broker Dealer Financial Services Co | West Des Moines, IA | Mar 2016 - Current | 8 |
| Desert Equity Lending | Scottsdale, AZ | Aug 2013 - Current | 10 |
| Babb Financial Group | Flagstaff, AZ | Aug 2009 - Current | 14 |
| Babb Financial | Flagstaff, AZ | Aug 2009 - Current | 14 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S65 | NASAA Investment Advisors Law Examination | Feb 2016 |
- AZ
- LA
- TX
-
Total Assets Under Management117MILLIONS
-
Total Number of Accounts697ACCOUNTS
-
Average Account Value$167,161
- A percentage of assets under your management
- Other
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AZ, CA, CO, LA, OR, TX
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