Kathleen A. Farrell
Professional summary
Kathleen Anne Farrell, who also goes by Kathleen Anne Sullivan, is a registered financial professional currently at TRUIST SECURITIES, INC. located in Atlanta, Georgia.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1999. Kathleen has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Anne Farrell's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2018 - Present
TRUIST SECURITIES, INC.
Office #1: 740 Battery Avenue, Se Fl 3 4, 5, 6, & 9, Atlanta, GA, 30339February 10, 2004 - January 7, 2005
GE CAPITAL MARKETS, INC.
November 2, 1999 - May 22, 2001
APEX CLEARING CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/22/2019)
Exams
FINRA
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
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