Kathleen A. Bishop
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 Ann Bishop, CLU®, who also goes by Kathy Bishop, Kathleen Ann Mcdonnell, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 2006. Kathleen had worked at 3 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 6, Series 53 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
August 3, 2023 - June 11, 2025
ARCH GLOBAL ADVISORS, LLC
July 19, 2023 - May 30, 2025
CADARET, GRANT & CO., INC.
July 18, 2023 - May 30, 2025
CADARET, GRANT & CO., INC.
January 18, 2008 - July 20, 2023
NEXT FINANCIAL GROUP, INC.
April 12, 2006 - July 20, 2023
NEXT FINANCIAL GROUP, INC.
Primary Firm SEC Registration
ARCH GLOBAL ADVISORS, LLC
CRD#: 297397 / SEC#: 801-113519
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 52TO
Date: 7/18/2023
Municipal Securities Representative ExaminationCurrent Firm
ARCH GLOBAL ADVISORS, LLC
CRD#: 297397 / SEC#: 801-113519
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 507 |
| AUM (Assets Under Management) | $ 144,750,085 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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