Kathleen A. Grace

FIDUCIARY FAMILY OFFICE

Boca Raton, FL 33432

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CRD#: 2617554

Professional summary

Kathleen Anne Grace, CFP®, CIMA®, who also goes by Kathleen Anne Grace-schoeppl, Kathleen Anne Yagoda, Kathleen Grace Yagoda, is a registered financial advisor currently at FIDUCIARY FAMILY OFFICE, LLC located in Boca Raton, Florida.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Kathleen has worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen Anne Grace-Schoeppl | Kathleen Anne Yagoda | Kathleen Grace Yagoda

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Owner of Excelsior Capital Holdings. LLC; Author, writer and speaker. Activity will take place from Boca Raton; FL. Organization is not primarily engaged in investment-related activity. Start date was December 3, 2009. Three hours per month. Duties include writing and promoting book.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Anne Grace's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2000

CIMA^®

Certified Investment Management Analyst

Experience

Current

August 8, 2023 - Present

FIDUCIARY FAMILY OFFICE, LLC

Office #1: 150 East Palmetto Park Road Suite 301, Boca Raton, FL 33432

RIA

CRD#: 326990

Boca Raton, FL

Past

November 7, 2012 - August 31, 2023

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

BOCA RATON, FL

Past

September 12, 2007 - December 19, 2012

EXCELSIOR CAPITAL ADVISORS, LLC

RIA

CRD#: 144485

BOCA RATON, FL

Past

September 21, 2005 - August 21, 2007

CARL DOMINO INC.

RIA

CRD#: 131528

PALM BEACH, FL

Past

June 12, 2001 - August 8, 2005

CHOREO, LLC

RIA

CRD#: 111221

FT LAUDERDALE, FL

Past

January 18, 2001 - August 8, 2005

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

Past

February 5, 1999 - January 12, 2001

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 3, 1998 - September 25, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 23, 1995 - December 10, 1997

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

FIDUCIARY FAMILY OFFICE, LLC

FIDUCIARY FAMILY OFFICE, LLC | GROVE ADVISORS, LLC

CRD#: 326990 / SEC#: 801-128229

RIA

Registered Investment Advisory firm - (6/26/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/22/2023)

IAR

Maine
(8/8/2023)

IAR

Texas
(8/8/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/29/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/28/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/22/1995

General Securities Representative Examination

Current Firm

FIDUCIARY FAMILY OFFICE, LLC

FIDUCIARY FAMILY OFFICE, LLC | GROVE ADVISORS, LLC

CRD#: 326990 / SEC#: 801-128229

RIA

Registered Investment Advisory firm - (6/26/2023 Approved)

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Contact information

Main Address

150 East Palmetto Park Road Suite 301, Boca Raton, FL 33432

Mailing Address

Phone number

(561) 353-4440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR FIDUCUARY FAMILY OFFICE, LLC (3/21/2025)

Regulatory assets under management

Total Number of Accounts	598
AUM (Assets Under Management)	$ 696,082,075

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Kathleen A. Grace

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Anne Grace's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED CAPITAL FINANCIAL ADVISORS

EXCELSIOR CAPITAL ADVISORS, LLC

CARL DOMINO INC.

CHOREO, LLC

BIRCHTREE FINANCIAL SERVICES LLC

MML INVESTORS SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITICORP INVESTMENT SERVICES

Primary Firm SEC Registration

FIDUCIARY FAMILY OFFICE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/1998

Series 63

Date: 12/28/1995

Series 7

Date: 8/22/1995

Current Firm

FIDUCIARY FAMILY OFFICE, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIDUCIARY FAMILY OFFICE, LLC

TRUST BUT VERIFY

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