KO
CFP
KO
CFP

Kathleen Patricia Oberneder

21 Years of Experience
Broker
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningEducation PlanningInsurance Planning
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
223 advisors
Number of Clients
6,062 clients
Average Client Portfolio
$201K average
Assets Under Management
$1.2B

Fee Structure

Minimum Investment:$50K
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Location

7500 Rialto Blvd, Bldg 1 Suite 250, Austin, TX, 78735

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Kathleen is the treasurer for Independent Housing Initiative, Inc., a non-profit organization supporting housing for adults with special needs, since January 2024. She spends minimal time assisting with donations and payments to consultants.

Employment History
Current Registrations
Calton & Associates, INC.Broker
January 2024 - Present · 2 yrs 1 mo
Forefront
January 2024 - Present · 2 yrs 1 mo
Previous Registrations
J. W. Cole Advisors, INC.
April 2017 - November 2023 · 6 yrs 7 mos
J.W. Cole Financial, INC.Broker
April 2017 - November 2023 · 6 yrs 7 mos
LPL Financial LLC
April 2015 - May 2017 · 2 yrs 1 mo
LPL Financial LLCBroker
November 2014 - May 2017 · 2 yrs 6 mos
Northwestern Mutual Investment Services, LLCBroker
May 2012 - October 2014 · 2 yrs 5 mos
Princor Financial Services CorporationBroker
September 2004 - June 2010 · 5 yrs 9 mos
Princor Financial Services Corporation
September 2004 - June 2010 · 5 yrs 9 mos
NFP Securities, INC.Broker
May 2004 - August 2004 · 3 mos
Ogilvie Security Advisors CorporationBroker
June 2003 - February 2004 · 8 mos
Princor Financial Services CorporationBroker
July 2001 - May 2003 · 1 yr 10 mos
State Registrations4 states
HIILSCWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.