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KF

Kathleen Q. Fay

PINE VALLEY INVESTMENTS
Marlton, NJ 08053
Some features on this profile are disabled
CRD#: 3171895
KF

Professional summary

Kathleen Quinlan Fay, CFP®, who also goes by Kathleen Quinlan Kelly, is a registered financial advisor currently at PINE VALLEY INVESTMENTS located in Marlton, New Jersey.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kathleen has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kathleen Quinlan Kelly

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) - RIA

Click below to view Kathleen Quinlan Fay's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2013

Experience

Current

June 8, 2021 - Present

PINE VALLEY INVESTMENTS

Office #1: 10 E. Stow Rd. Suite 200, Marlton, NJ 08053
RIA
CRD#: 173995
Marlton, NJ
Past

July 24, 2014 - March 27, 2015

GIRARD INVESTMENT SERVICES, LLC

RIA
CRD#: 1834
King of Prussia, PA
Past

July 24, 2014 - June 1, 2020

GIRARD INVESTMENT SERVICES, LLC

BD
CRD#: 1834
King of Prussia, PA
Past

June 21, 2011 - August 19, 2014

GIRARD CAPITAL, LLC

BD
CRD#: 151194
KING OF PRUSSIA, PA
Past

May 20, 2011 - June 1, 2020

GIRARD PARTNERS LTD.

RIA
CRD#: 39163
KING OF PRUSSIA, PA
Past

March 8, 2005 - December 8, 2010

GIRARD PARTNERS LTD.

RIA
CRD#: 39163
KING OF PRUSSIA, PA
Past

January 24, 2005 - December 8, 2010

GIRARD PARTNERS LTD.

BD
CRD#: 39163
KING OF PRUSSIA, PA
Past

August 27, 1999 - September 13, 2004

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

June 18, 1999 - October 21, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 18, 1999 - October 21, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PV
PINE VALLEY INVESTMENTS
MORAD, HARRY E | PINE VALLEY INVESTMENTS LIMITED LIABILITY COMPANY | PINE VALLEY INVESTMENTS

CRD#: 173995 / SEC#: 801-80742

RIA
Registered Investment Advisory firm - (1/8/2015 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
New Jersey
(6/8/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/7/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/9/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1999
General Securities Representative Examination

Current Firm

PV
PINE VALLEY INVESTMENTS
MORAD, HARRY E | PINE VALLEY INVESTMENTS LIMITED LIABILITY COMPANY | PINE VALLEY INVESTMENTS

CRD#: 173995 / SEC#: 801-80742

RIA
Registered Investment Advisory firm - (1/8/2015 Approved)
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Contact information

Main Address
10 E. Stow Rd. Suite 200, Marlton, NJ 08053
Mailing Address
Phone number
(856) 334-8260
Established
Firm type
Fiscal year end
# of Employees
37

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A- PINE VALLEY INVESTMENTS (3/19/2025)

Regulatory assets under management

Total Number of Accounts5,152
AUM (Assets Under Management)$ 2,183,420,313

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.

Company Information

PINE VALLEY INVESTMENTS

CRD#: 173995Marlton, NJ 08053

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