Katherine Auman Matthews
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Katherine Auman Matthews is an investment adviser representative with LPL Financial LLC in Raleigh, NC, where they have been registered since 2024. They have worked in the securities industry since 2002 and have been registered with 5 firms, including Truist Advisory Services, Inc. and Bb&t Securities, LLC. They have passed 6 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in North Carolina.
Office
Advisors at this office: 4
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- North Carolina
- Broker:
3 states and territories
New Hampshire, North Carolina, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Bb&tOct 1995 – Jan 2019Greensboro, NC
- Bb&t Investment Services, Inc.Mar 2006 – Feb 2021Charlotte, NC
- Bb&t Securities, LLCJan 2018 – Feb 2021Richmond, VA
- Bb&tJan 2019 – Feb 2021Fuquay Varina, NC
- Truist Investment Services, Inc.Feb 2021 – Sep 2023Fuquay Varina, NC
- Truist Advisory Services, Inc.Mar 2021 – Sep 2023Atlanta, GA
- LPL Financial LLCNov 2024 – no end date reportedRaleigh, NC
- n/aOct 2023 – Jan 2024Raleigh, NC
- Hilltop Christian SchoolJan 2024 – May 2024Fuquay Varina, NC
- n/aJun 2024 – Nov 2024Raleigh, NC
Official records & sources
Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Katherine Auman Matthews has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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