Kathleen A. Murphy
Professional summary
Kathleen Anne Murphy, who also goes by Kathleen Anne Kirkendall, Kate Murphy, Kathleen Ann Murphy, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1997. Kathleen has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Anne Murphy's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2021 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355February 21, 2014 - June 27, 2018
VANGUARD MARKETING CORPORATION
February 23, 2010 - September 12, 2013
COVENTRY SECURITIES, LLC
July 9, 2004 - December 31, 2009
THE LEADERS GROUP, INC.
February 10, 2004 - April 20, 2004
CINCINNATI ANALYSTS, INC.
June 26, 2002 - July 28, 2003
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 17, 1998 - May 16, 2002
MFS FUND DISTRIBUTORS, INC.
April 22, 1997 - April 27, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/13/2021)
Exams
Series 28
Date: 6/12/2012
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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