Kathleen Pritchard
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.
Kathleen Pritchard, who also goes by Kathleen M Kennelly, Kathleen Marie Kennelly, Kathy Kennelly, Kathleen Kennelly Pritchard, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1986. Kathleen had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2005 - April 15, 2016
FRANKLIN DISTRIBUTORS, LLC
July 29, 2005 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
January 1, 2005 - March 31, 2005
JPMORGAN DISTRIBUTION SERVICES, INC.
September 9, 2003 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
August 22, 2001 - January 30, 2003
SAGE DISTRIBUTORS, INC.
June 10, 1998 - April 24, 2001
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
August 12, 1994 - December 31, 1997
ESSEX NATIONAL SECURITIES, LLC
March 16, 1988 - May 6, 1994
NEW ENGLAND SECURITIES
April 9, 1986 - August 15, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 9, 1986 - October 13, 1987
EQUITABLE ADVISORS, LLC
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
FRANKLIN DISTRIBUTORS, LLC
CRD#: 109064 / SEC#: , 8-53089
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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