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Detailed Report
KATHLEEN ANN STOVEL
KATHLEEN ANN STOVELL, KATHLEEN ANN WELCH, KATHLEEN ANN WINOKUR
CRD#: 2150016
IA
Investment Adviser
B
Broker
SOVRAN ADVISORS, LLCCRD#: 329415 150 S LOS ROBLES AVE
SUITE 750
PASADENA, CA 91101
CETERA ADVISOR NETWORKS LLCCRD#: 13572 Los Angeles, CA
Registration History
19952000200520102015202020252 FIRMS1991 - 2000 (8 years)2 FIRMS2011 - 2022 (11 years)2 FIRMS2022 - 2024 (2 years)2 FIRMS2024 - Present (<1 year)BING FINANCIAL ADVISERS, LLC (CRD# 34815)2000 - 2011 (10 years)IAING FINANCIAL ADVISERS, LLC (CRD# 34815)2003 - 2011 (7 years)
Disclosure(s)
View By:
8/22/2023
Judgment / Lien
License(s)

State Registrations

B
California 12/20/2024
IA
California 12/20/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SOVRAN ADVISORS, LLC (CRD#:329415)
150 S LOS ROBLES AVE SUITE 750, PASADENA, CA 91101
Registered with this firm since 12/20/2024
B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
Los Angeles, CA
Registered with this firm since 12/19/2024
Previous Registration(s)
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IA
 05/09/2022 - 12/20/2024 MML INVESTORS SERVICES, LLC (CRD#:10409) Los Angeles, CA
B
 05/03/2022 - 12/20/2024 MML INVESTORS SERVICES, LLC (CRD#:10409) Los Angeles, CA
IA
 01/03/2011 - 04/27/2022 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) LOS ANGELES, CA
B
 01/03/2011 - 04/27/2022 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) LOS ANGELES, CA
IA
 07/02/2003 - 01/03/2011 ING FINANCIAL ADVISERS, LLC (CRD#:34815) LOS ANGELES, CA
B
 03/28/2000 - 01/03/2011 ING FINANCIAL ADVISERS, LLC (CRD#:34815) LOS ANGELES, CA
B
 07/18/1991 - 02/18/2000 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 07/18/1991 - 02/18/2000 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.