Unclaimed Profile

Kathleen Anne Dougherty-Klein

PARK PLACE CAPITAL MANAGEMENT, INC.·MILWAUKEE, Wisconsin

Series 6, Series 7, Series 63, Series 65Clean record25 years registeredPARK PLACE CAPITAL MANAGEMENT, INC.

ONE PARK PLAZA, MILWAUKEE, WI 53224-3638CRD# 2018508Firm CRD# 105154

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kathleen Anne Dougherty-Klein · MILWAUKEE, WI

Registration

CRD #2018508 · PARK PLACE CAPITAL MANAGEMENT, INC. · 25 years registered

Brand Profile

Not yet started

Career History

FOCUS PARTNERS WEALTH, LLC

Jan 2026 – present

NORTHCOAST ASSET MANAGEMENT LLC

Jan 2025 – Mar 2026

Milwaukee, WI

KOVITZ INVESTMENT GROUP PARTNERS, LLC

May 2024 – Dec 2024

Milwaukee, WI

STRATEGIC WEALTH PARTNERS

Jan 2018 – May 2024

Milwaukee, WI

PPCM, INC.

Mar 2014 – Jan 2018

MILWAUKEE, WI

MARIETTA INVESTMENT PARTNERS, LLC

Apr 2004 – Feb 2014

MILWAUKEE, WI

STRONG CAPITAL MANAGEMENT INC

Mar 2001 – Apr 2004

MENOMONEE FALLS, WI

Registrations & Exams

FINRA examinations passed

Series 6

Series 7

Series 63

Series 65

Registration record

First registered · March 19, 2001

Years registered · 25

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PARK PLACE CAPITAL MANAGEMENT, INC.

CRD 105154 · SEC 801-25182

AUM

$802M

Regulatory assets under management

Employees

140 client accounts

Services offered by PARK PLACE CAPITAL MANAGEMENT, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PARK PLACE CAPITAL MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Kathleen Anne Dougherty-Klein offer?

Kathleen Anne Dougherty-Klein specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MILWAUKEE, Wisconsin for a consultation.

What are Kathleen Anne Dougherty-Klein's credentials?

Kathleen Anne Dougherty-Klein is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kathleen Anne Dougherty-Klein located?

Kathleen Anne Dougherty-Klein is based in MILWAUKEE, Wisconsin, working with PARK PLACE CAPITAL MANAGEMENT, INC.. Their office serves clients in the MILWAUKEE metropolitan area and surrounding communities.

How does Kathleen Anne Dougherty-Klein charge for services?

Kathleen Anne Dougherty-Klein's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PARK PLACE CAPITAL MANAGEMENT, INC.?

PARK PLACE CAPITAL MANAGEMENT, INC. has approximately 7 employees and manages $802M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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