Kate Gregory Walker has been an investment adviser representative at Richey Advisors since October 2020, and is not listed among the firm’s executive officers or direct owners. Kate Gregory Walker holds a Bachelor's degree in marketing and advertising from Indiana University.
Richey Advisors, Inc. is a Placentia, CA firm with $160M under management, 247 clients and 4 advisers across 3 offices, as of its September 2026 filing.
Kate Gregory Walker is a Financial Planner at R.A.I. Wealth Management. She joined the firm in 2025 to work with a team of advisors on her clients' needs. Gregory Walker is President and owner of Gregory Advisors Incorporated, which she took over in 2017, and moved her career into finance in 2000 after several years in industrial sales.
Kate Gregory Walker’s longest registration is the current one, 24 years at Gregory Advisors Inc. since 2002.
- Rai Wealth ManagementCurrent– present · 5 yearsHuntington Beach, CA · Adviser representative · Firm CRD 277137
- Gregory Advisors Inc.Also current– present · 24 yearsAdviser representative · Firm CRD 112537
Professional designations
Listed by Richey Advisors
- CFP®
Investment adviser representative registrations
Kate Gregory Walker is registered as an investment adviser representative in California, since February 2002.
- CaliforniaSince 11 February 2002
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 4 August 2000 |
| Series 24 | General Securities Principal Examination | 1 August 2000 |
| Series 7 | General Securities Representative Examination | 24 July 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 29 December 1993 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- CRD
- 2418671
- Firm
- Richey Advisors · CRD 277137
- Office
- Huntington Beach, CA
- Registration
- Investment adviser registration
- In the industry since
- February 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- raiwm.com
Where does Kate Gregory Walker work?
Kate Gregory Walker is an investment adviser representative registered through Richey Advisors, Inc. since October 2020, and is not listed among the firm’s executive officers or direct owners.
Is Kate Gregory Walker a financial advisor?
Yes. Kate Gregory Walker has a current investment-adviser registration in California, through Richey Advisors since October 2020.
How many years of experience does Kate Gregory Walker have?
Kate Gregory Walker has 24 years in the financial industry, since February 2002, across 2 adviser firms.
What exams has Kate Gregory Walker passed?
Kate Gregory Walker has passed 4 licensing exams: the Series 63, Series 7, Series 24 and Series 66. The earliest, the Series 63, was passed in December 1993.
Where is Kate Gregory Walker based?
Kate Gregory Walker’s registered office is in Huntington Beach, CA.
Is Kate Gregory Walker registered with FINRA?
No. Kate Gregory Walker has no current broker registration.
Is Kate Gregory Walker a CFP?
Richey Advisors lists Kate Gregory Walker with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Kate Gregory Walker’s record?
Search CRD 2418671 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kate Gregory Walker’s full registration record.
