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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

KATHLEEN A NEMETZ

Advisor at STRATOS WEALTH PARTNERS, LTD

Paulden, AZ | Prescott, AZ

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Search this name across graphsid dfx:ria:d1519a67-ad63-61fc-6c41-44766ce33fe1

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2005 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STRATOS WEALTH PARTNERS, LTD
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 24, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S66
First exam: Jan 24, 2005
First registration: Jan 25, 2005
Dual registered: yes, broker-dealer
Other names: KATHLEEN A NEMETZ|KATHLEEN A NEMETZ
IAPD individual key: 4887008

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Nov 14, 2019	n/a	yes	Prescott, AZ\|Paulden, AZ	Current employment
MCCLURG CAPITAL CORPORATION	State registered	Aug 26, 2013	Nov 14, 2019	no	SAN RAFAEL, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Aug 28, 2013	no	SAN FRANCISCO, CA\|San Francisco, CA	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Dec 5, 2006	Oct 5, 2009	no	SAN FRANCISCO, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 25, 2005	Nov 6, 2006	no	MILL VALLEY, CA\|MILL VALLEY, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MCCLURG CAPITAL CORPORATION	STRATOS WEALTH PARTNERS, LTD	Nov 14, 2019	Nov 14, 2019	0	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MCCLURG CAPITAL CORPORATION	Aug 28, 2013	Aug 26, 2013	-2	Firm change	Ibd to state RIA
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	AMERIPRISE ADVISOR SERVICES, INC.	Nov 6, 2006	Dec 5, 2006	29	Firm change	Other

Relationships

Registered with (5)

→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: current employment
Nov 14, 2019 to presentfactForm ADV
→ MCCLURG CAPITAL CORPORATIONRegistered adviserregistration: previous registration
Aug 26, 2013 to Nov 14, 2019factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Aug 28, 2013factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Dec 5, 2006 to Oct 5, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 25, 2005 to Nov 6, 2006factForm ADV

Dated events

No dated event names this entity yet.