Chief Compliance Officer/chief Financial Officer · Steele Capital Management, Inc.
Kathryn L. Moran
CRD 5029925 · Named on Form ADV at one SEC-registered adviser
At a glance
Steele Capital Management, Inc., an SEC-registered wealth manager based in Dubuque, IA with $3.5 billion in regulatory assets, lists Kathryn L. Moran on its Form ADV as Chief Compliance Officer/chief Financial Officer.
Firms and roles
- Steele Capital Management, Inc.Chief Compliance Officer/chief Financial OfficerWealth manager · Dubuque, IA · $3.5B in regulatory assets
AtlasMembers
Kathryn’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2013 (12 years)
- Designations
- None on file
- Exams
- Series 65
- Registered in
- 1 state
- Also a broker representative
- No
- Disclosures on record
- None
AtlasMembers
Kathryn’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings
- Michael D. SteeleCeo/president, Steele Capital Management, Inc.
- Bradley LewisSenior Portfolio Manager, Steele Capital Management, Inc.
- Nicholas P. SmithSenior Portfolio Manager, Steele Capital Management, Inc.
- Brett A. WesselsChief Investment Officer, Steele Capital Management, Inc.
- Christopher M. BoxleiterDirector of Company Sponsored Retirement Plans, Steele Capital Management, Inc.
Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Kathryn’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.