Kathleen E. Murphy
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 Elizabeth Murphy, who also goes by Kathleen Elizabeth Holleran, Kathleen Murphy Holleran, Kathleen E Murphy, Kathleen Murphy, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1998. Kathleen had worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2020 - January 2, 2021
VIGILANT DISTRIBUTORS, LLC
December 5, 2014 - February 8, 2019
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
January 12, 2011 - December 17, 2012
SARATOGA CAPITAL MARKETS
April 20, 2010 - December 31, 2010
CHARLES JORDAN & CO., LLC
August 9, 2006 - March 18, 2010
RANGE GLOBAL LLC
June 11, 2002 - August 10, 2006
CARLIN EQUITIES, LLC
November 15, 1999 - June 13, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
February 10, 1998 - October 20, 1999
JEFFERIES 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
Series 55
Date: 2/5/2002
Limited Representative-Equity Trader ExamCurrent Firm
VIGILANT DISTRIBUTORS, LLC
CRD#: 285573 / SEC#: , 8-69854
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
