Kathryn T. Borlo

FHN FINANCIAL SECURITIES

Memphis, TN 38120

Some features on this profile are disabled

CRD#: 2589122

Professional summary

Kathryn Thomas Borlo, who also goes by Kathryn Thomas Russo, Kathy Russo, Kathryn Thomas, Kathy Thomas, is a registered financial professional currently at FHN FINANCIAL SECURITIES CORP. located in Memphis, Tennessee.

Kathryn is registered as a RR (Registered Representative) and started their career in finance in 1995. Kathryn has worked at 8 firms and has passed the Series 63, Series 66, Series 52TO, Series 7TO, Series 99TO, SIE, Series 7, Series 24, Series 53, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Kathryn Thomas Russo | Kathy Russo | Kathryn Thomas | Kathy Thomas

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathryn Thomas Borlo's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 22, 2023 - Present

FHN FINANCIAL SECURITIES CORP.

Office #1: 1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

CRD#: 46346

Memphis, TN

Past

October 22, 2021 - April 18, 2022

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

MEMPHIS, TN

Past

June 25, 2012 - October 19, 2012

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ENGLEWOOD, CO

Past

December 7, 2009 - March 31, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ENGLEWOOD, CO

Past

March 30, 2005 - December 19, 2005

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ENGLEWOOD, CO

Past

February 12, 2004 - December 19, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

February 7, 2003 - April 21, 2003

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

November 2, 2000 - February 25, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

June 20, 2000 - August 3, 2000

FHN FINANCIAL SECURITIES CORP.

CRD#: 46346

MEMPHIS, TN

Past

March 2, 1998 - June 5, 2000

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 13, 1997 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

February 5, 1997 - November 23, 1997

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

October 31, 1996 - January 22, 1997

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

October 4, 1995 - September 27, 1996

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Tennessee
(1/15/2025)

Exams

State Security Law Exam

Series 63

Date: 1/13/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/25/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 6/3/2024

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7TO

Date: 3/18/2024

General Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 10/22/2021

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/8/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/6/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/16/2024

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 7/1/2024

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 8/4/2010

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/1/2010

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

FHN FINANCIAL SECURITIES CORP. | MIDWEST RESEARCH FIRST TENNESSEE SECURITIES CORP. | FTN FINANCIAL SECURITIES CORP | FIRST TENNESSEE SECURITIES CORPORATION | FIRST TENNESSEE SECURITIES CORP.

CRD#: 46346 / SEC#: , 8-51393

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Mailing Address

1000 Ridgeway Loop Road Suite 200, Memphis, TN 38120

Phone number

(901) 435-8080

Established

Tennessee since 10/30/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FIRST HORIZON BANK	SHAREHOLDER
BUCK, WILLIAM JAMES II	PRINCIPAL OPERATING OFFICER	3129662
DABROWSKI, MARK GERARD	CHIEF COMPLIANCE OFFICER	2065647
GRIFFIN, MARK DANIEL	SVP, RISK CONTROL MANAGER	7462222
JACKSON, JEFF BRIAN	SVP/ TRADING MANAGER	2777631
RITCHESON, DONALD ALLEN	PRINCIPAL FINANCIAL OFFICER / CFO	2360009
ROMANOW, TIMOTHY MARK	PRESIDENT/CEO	2533445
WADDELL, MICHAEL KNOX	EVP, DIRECTOR / CHIEF ADMINISTRATIVE OFFICER/SECRETARY	5657529

Disclosures

Regulatory Event	7
Arbitration	1

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.

Similar Advisors

Stacey Hyde

ENVISION FINANCIAL PLANNING, LLC

IAR

Memphis, TN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Kathryn T. Borlo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kathryn Thomas Borlo's CRS (Customer Relationship Summary).

Certified licenses

Experience

FHN FINANCIAL SECURITIES CORP.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

INVESTMENT CENTERS OF AMERICA, INC.

CHARLES SCHWAB & CO., INC.

FHN FINANCIAL SECURITIES CORP.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

FIRST UNION CAPITAL MARKETS CORP.

MORGAN KEEGAN & COMPANY, LLC

WILLIAM BLAIR

State Registrations and Notice Filings

Exams

Series 63

Date: 1/13/2025

Series 66

Date: 3/25/2005

Series 52TO

Date: 6/3/2024

Series 7TO

Date: 3/18/2024

Series 99TO

Date: 10/22/2021

SIE

Date: 10/8/2021

Series 7

Date: 12/6/2009

Series 24

Date: 12/16/2024

Series 53

Date: 7/1/2024

Series 10

Date: 8/4/2010

Series 9

Date: 7/1/2010

FINRA

Current Firm

FHN FINANCIAL SECURITIES CORP.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FHN FINANCIAL SECURITIES CORP.

TRUST BUT VERIFY

Similar Advisors