Katherine Stellar, financial advisor Aliso Viejo CA
96 score

Katherine Stellar

CRD Number: 3181468
Current Firm: Golden State Wealth Management, LLC

Katherine Stellar (CRD# 3181468) is an Investment Advisor Representative working at Golden State Wealth Management, LLC in Aliso Viejo, CA and has over 17 years of experience in the finance industry. Katherine Stellar 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.

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Professional Designations
Company Name Location Dates Years
Golden State Wealth Management, LLC South Coast Metro, CA Jun 2016 - Current < 1
Lpl Financial LLC Aliso Viejo, CA Mar 2015 - Current 1
Golden State Wealth Management, LLC Irvine, CA Mar 2015 - Jun 2016 1
Morgan Stanley Smith Barney LLC Newport Beach, CA May 2014 - Feb 2015 < 1
Morgan Stanley Smith Barney LLC Newport Beach, CA Oct 2010 - May 2014 3
Morgan Stanley Smith Barney LLC Newport Beach, CA Jun 2009 - Oct 2010 1
Citigroup Global Markets Inc. Newport Beach, CA Feb 2001 - Jun 2009 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1999
S65 NASAA Investment Advisors Law Examination May 2002
Contact Info for Katherine K. Stellar
Phone Number: 855.273.1563
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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