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KD

Kathryn M. Dean

LORD ABBETT DISTRIBUTOR LLC
JERSEY CITY, NJ 07302-4804
Some features on this profile are disabled
CRD#: 3178329
KD

Professional summary

Kathryn Maginnis Dean, who also goes by Kathryn Maginnis Dean, Kate Orozco, Kathryn Maginnis Orozco, is a registered financial professional currently at LORD ABBETT DISTRIBUTOR LLC located in Jersey City, New Jersey.

Kathryn is registered as a RR (Registered Representative) and started their career in finance in 2002. Kathryn has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathryn Maginnis Dean | Kate Orozco | Kathryn Maginnis Orozco

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 Maginnis Dean'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®
None

Experience

Current

January 27, 2022 - Present

LORD ABBETT DISTRIBUTOR LLC

Office #1: 30 Hudson Street, Jersey City, NJ 07302-4804
BD
CRD#: 530
JERSEY CITY, NJ
Past

August 30, 2021 - November 1, 2021

ROTHSCHILD & CO US INC.

BD
CRD#: 2910
NEW YORK, NY
Past

March 22, 2016 - June 9, 2021

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
New York, NY
Past

April 21, 2004 - October 22, 2015

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
New York, NY
Past

April 21, 2004 - October 22, 2015

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
New York, NY
Past

January 30, 2002 - April 13, 2004

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

January 21, 2002 - February 14, 2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

State Registrations and Notice Filings

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

RR
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

RR
New Jersey
(1/27/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/15/2002
Uniform Combined 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: 1/18/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/9/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LORD ABBETT DISTRIBUTOR LLC
LORD ABBETT DISTRIBUTOR LLC
LORD ABBETT DISTRIBUTOR LLC | LORD, ABBETT & CO.

CRD#: 530 / SEC#: , 8-216

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
30 Hudson Street, Jersey City, NJ 07302-4804
Mailing Address
30 Hudson Street, Jersey City, NJ 07302-4804
Phone number
(888) 522-2388
Established
New York since 06/06/1996
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LORD, ABBETT & CO. LLCMEMBER
PAONE, FRANCIS VINCENT IIICHIEF EXECUTIVE OFFICER3135499
PEREIRA, ANTONIO NCHIEF FINANCIAL OFFICER5662445
SHETH, KUNJANCHIEF COMPLIANCE OFFICER4884218
STUZIN, RANDOLPH ARTHURCHIEF LEGAL OFFICER4645056

Disclosures

Regulatory Event3

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

LORD ABBETT DISTRIBUTOR LLC

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530Jersey City, NJ 07302-4804

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