Katherine Brown, CSA, NAPFA-RA
Newport News, Virginia, 23606
Member Since 2009
Katherine is the president of the Advisory Firm of Katherine L Brown, LLC, which is a Registered Investment Advisor in Virginia. She helps clients make intelligent and informed decisions about their investment portfolios as well as their general financial planning needs. Katherine is a fee-only NAPFA-Registered Advisor, and all of her clients benefit from obtaining pure financial advice without the pressure of purchasing commission laden products such as loaded mutual funds, high cost annuities, or expensive life insurance. In addition to using no-load funds, ETFs, and other low cost vehicles, she implements strategies to eliminate or reduce trading fees. She uses asset allocation and promotes long term passive investment strategies.
My Location
Background Information
Years of Financial Experience
- 14
Education
- Stanford University - Palo Alto (BA)
- University of California Los Angeles - UCLA (Personal Financial Planning Program - PFP)
Certifications and Designations
- CSA
- NAPFA-RA
- NAPFA®, PFP
Association Memberships
- Financial Planning Association
- NAPFA
- Stanford Alumni Association
Methods of Compensation
- Financial Planning: Asset-based fee, Hourly fee, Fixed fee
- Investment Services: Asset-based fee, Hourly fee, Fixed fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- TD Ameritrade
- Fidelity
- American Funds
Types of Financial Reports
- Performance Report (Semi-Annually)
- Market Environment Report (Semi-Annually)
- Custodial Report (Monthly)
- Newsletter (Quarterly)
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them annually and upon request
- I review my clients' investment portfolios with them quarterly and upon request
Registration & Licensing
- CRD/IARD Number: None
- Securities Registrations: Series 65
- Insurance Licenses: Life, Annuity, Long-Term Care, Disability
Company Names
- Registered Investment Advisor: Katherine L Brown
- Broker/Dealer: None
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Registered or licensed to provide financial advice, services, and products
- Virginia
Disclosure(s)
- View StatementAs described in the ADV Part II there may be a conflict of interest between charging as a percentage of assets under management vs. an hourly or flat rate fee.
- View ADV
- View Statement
Planning Services
- Financial Planning, Retirement, College Funding, Hourly, Current Review
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Re-Balancing, Active Managers, Passive Managers, Risk Management, Performance Reporting, Tax Efficient Strategies, Review Current Portfolios
Visit Website - http://www.brownplanning.com
