Katherine R. Kelliher

MOORS & CABOT

BOSTON, MA 02110

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CRD#: 4146307

Professional summary

Katherine Rose Kelliher is a registered financial advisor currently at MOORS & CABOT, INC. located in Boston, Massachusetts and EAGLECLAW CAPITAL MANAGEMENT LLC located in Boston, Massachusetts.

Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Katherine has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Katherine Rose Kelliher's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Katherine Rose Kelliher'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

April 18, 2016 - Present

MOORS & CABOT, INC.

Office #1: One Federal Street 19th Floor, Boston, MA 02110Office #2: One Federal Street 19th Floor, Boston, MA 02110

RIA

CRD#: 594

BOSTON, MA

Current

December 6, 2018 - Present

EAGLECLAW CAPITAL MANAGEMENT LLC

Office #1: One Federal Street 19th Floor, Boston, MA 02110

RIA

CRD#: 134045

BOSTON, MA

Current

April 1, 2014 - Present

MOORS & CABOT, INC.

Office #1: One Federal Street 19th Floor, Boston, MA 02110Office #2: One Federal Street 19th Floor, Boston, MA 02110

RIA

CRD#: 594

BOSTON, MA

Past

March 15, 2016 - January 8, 2020

GYROSCOPE CAPITAL MANAGEMENT GROUP LLC

RIA

CRD#: 142672

Boston, MA

Past

March 13, 2012 - April 9, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WESTBORO, MA

Past

February 18, 2010 - November 29, 2011

CANACCORD GENUITY LLC

CRD#: 1020

NEW YORK, NY

Past

June 1, 2009 - March 1, 2010

MORGAN STANLEY

CRD#: 149777

BOSTON, MA

Past

April 30, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOSTON, MA

Past

December 1, 2006 - December 31, 2006

QUESTAR CAPITAL CORPORATION

CRD#: 43100

MINNEAPOLIS, MN

Past

June 13, 2005 - December 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

August 17, 2004 - May 18, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 14, 2002 - August 13, 2004

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

October 20, 2000 - July 26, 2002

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

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".

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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.

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

IAR

California
(4/18/2016)

Massachusetts
(4/1/2014)

IAR

Massachusetts
(12/6/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/25/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/29/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/6/2015

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/14/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/19/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/2004

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Federal Street 19th Floor, Boston, MA 02110

Mailing Address

One Federal Street 19th Floor, Boston, MA 02110

Phone number

(617) 426-0500

Established

Massachusetts since 07/05/1978

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

121

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MOORS & CABOT ADV (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
EIGHTEEN NINETY PARTNERS, LLC	SHAREHOLDER
BRAUN, MICHAEL CHARLES	EVP/COO/DIRECTOR	2005370
CUETARA, JOSEPH PHILIP	SVP FIXED INCOME/MUNICIPAL PRINCIPAL	58308
GARRETT, MARK DAVID	DIRECTOR/CO-CHAIRMAN/TRUSTEE	5563014
HILDRETH, MICHAEL CHRISTOPHER	EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR	2386839
JOYCE, DANIEL MICHAEL	DIRECTOR	1060819
KELLIHER, KATHERINE ROSE	SVP & CHIEF COMPLIANCE OFFICER	4146307

Regulatory assets under management

Total Number of Accounts	5,074
AUM (Assets Under Management)	$ 3,437,764,388

Disclosures

Regulatory Event	30
Arbitration	3
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
12/04/2023	Cover Page	Report
01/12/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Katherine R. Kelliher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Rose Kelliher's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Katherine Rose Kelliher's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLECLAW CAPITAL MANAGEMENT LLC

MOORS & CABOT, INC.

GYROSCOPE CAPITAL MANAGEMENT GROUP LLC

MSI FINANCIAL SERVICES, INC.

CANACCORD GENUITY LLC

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

QUESTAR CAPITAL CORPORATION

USALLIANZ SECURITIES, INC.

LPL FINANCIAL LLC

GUARDIAN INVESTOR SERVICES LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

MOORS & CABOT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/25/2016

Series 63

Date: 5/29/2001

SIE

Date: 10/1/2018

Series 3

Date: 8/6/2015

Series 7

Date: 11/14/2001

Series 6

Date: 10/19/2000

Series 24

Date: 8/23/2004

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

MOORS & CABOT, INC.

Contact information

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MOORS & CABOT, INC.

TRUST BUT VERIFY

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