DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Kay Marie Auwerter
Feed of 09/14/2026
Also filed as Kay Marie Sterling
At current firm
2 y
since Jun 17, 2024
In the industry
18 y
since Feb 8, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jun 17, 2024 · Copley, Oh
- Stratos Wealth Partners, Ltd BD affiliatedAug 7, 2012 to Jul 9, 2024 · Hudson, Oh
- Sterne Agee Investment Advisor Services, Inc. formerSep 28, 2011 to Aug 6, 2012 · Garfield Heights, Oh
- Edward Jones national BDFeb 24, 2009 to Sep 27, 2011 · St Louis, Mo
- Equitable Advisors, LLC national BDFeb 11, 2008 to Feb 25, 2009 · Akron, Oh
Moves
a registration end followed by a registration begin elsewhere
- Stratos Wealth Partners, Ltd to LPL Financial LLCleft Jul 9, 2024, registered Jun 17, 2024 (-22 days) · Affiliated broker-dealer or bank to another
- Sterne Agee Investment Advisor Services, Inc. to Stratos Wealth Partners, Ltdleft Aug 6, 2012, registered Aug 7, 2012 (1 days) · Other
- Edward Jones to Sterne Agee Investment Advisor Services, Inc.left Sep 27, 2011, registered Sep 28, 2011 (1 days) · Other
- Equitable Advisors, LLC to Edward Jonesleft Feb 25, 2009, registered Feb 24, 2009 (-1 days) · Affiliated broker-dealer or bank to another
Signals
- Kay Marie Auwerter left Stratos Wealth Partners, Ltd for Lpl Financial Llc (registered 2024-06-17)Jul 9, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address