Kathleen Schroeder has been Chief Compliance Officer of Babb Wealth Advisors since July 2018, is a control person of the firm and directly owns under 5% of it. Kathleen Schroeder holds a Bachelor’s degree in Business Administration from Arizona State University.
Babb Wealth Advisors LLC is a Flagstaff, AZ firm with $209M under management, 347 clients and 3 advisers across 2 offices, as of its September 2026 filing.
Kathleen Schroeder is Financial Planner of Babb Financial Group. She has been part of the firm since 2009 and works with individuals, families, retirees, pre-retirees and business owners in northern Arizona. Before stepping into a planning role, she worked in client service, business operations and compliance at the firm.
Kathleen Schroeder’s longest registration is the current one, 8 years at Babb Wealth Advisors since 2018. Before joining Babb Wealth Advisors in 2018, Kathleen Schroeder was registered through Investment Advisors Corp.
- Babb Wealth Advisors LLCCurrent– present · 8 yearsFlagstaff, AZ · Adviser representative · Firm CRD 298347
- Investment Advisors Corp– · 2 yearsFlagstaff, AZ · Adviser representative · Firm CRD 117531
Professional designations
Listed by Babb Wealth Advisors
- CFP®
- TPCP®
Investment adviser representative registrations
Kathleen Schroeder is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2018; the most recent is Texas, in October 2020.
- ArizonaSince 19 October 2018
- TexasResidentSince 20 October 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 26 February 2016 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Kathleen Marie Schroeder
- CRD
- 5731595
- Firm
- Babb Wealth Advisors · CRD 298347
- Role
- Chief Compliance Officer
- Office
- 1117 W. ROUTE 66, Flagstaff, AZ 86001
- Registration
- Investment adviser registration
- In the industry since
- April 2016
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- babbgroup.com
Where does Kathleen Schroeder work?
Kathleen Schroeder has been Chief Compliance Officer of Babb Wealth Advisors LLC since July 2018, and is a control person of the firm.
Is Kathleen Schroeder a financial advisor?
Yes. Kathleen Schroeder has a current investment-adviser registration in Arizona and Texas, through Babb Wealth Advisors since October 2018.
How many years of experience does Kathleen Schroeder have?
Kathleen Schroeder has 10 years in the financial industry, since April 2016, across 2 adviser firms.
What exams has Kathleen Schroeder passed?
Kathleen Schroeder passed the Series 65 in February 2016.
Where did Kathleen Schroeder work before Babb Wealth Advisors?
Before Babb Wealth Advisors, Kathleen Schroeder was registered through Investment Advisors Corp, April 2016 to October 2018.
Where is Kathleen Schroeder based?
Kathleen Schroeder’s registered office is in Flagstaff, AZ.
Is Kathleen Schroeder registered with FINRA?
No. Kathleen Schroeder has no current broker registration.
Is Kathleen Schroeder a CFP?
Babb Wealth Advisors lists Kathleen Schroeder with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Kathleen Schroeder’s record?
Search CRD 5731595 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kathleen Schroeder’s full registration record.
