Kathy Mckeigue
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathy Mckeigue, CFA, who also goes by Katherine Ann Mckeigue, Katherine Mckeigue, Kathy A Mckeigue, Kathy Ann Mckeigue, Katie Mckeigue, was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1985. Kathy had worked at 9 firms and has passed the Series 63, SIE, Series 99, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2016 - May 7, 2026
FIDELITY BROKERAGE SERVICES LLC
May 15, 2000 - February 26, 2007
PALISADE CAPITAL SECURITIES, L.L.C.
September 21, 1993 - October 5, 1998
WILLIAM BLAIR
December 21, 1992 - September 14, 1993
CIBC WORLD MARKETS CORP.
August 8, 1990 - November 16, 1992
FIRST ANALYSIS SECURITIES CORPORATION
June 12, 1990 - July 9, 1990
MESIROW INVESTMENT SERVICES, INC.
August 9, 1989 - April 3, 1990
JEFFERIES LLC
April 3, 1985 - August 11, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 21, 1985 - March 22, 1985
WS GRIFFITH SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
