advisor profile

Kathy Y Rosenblath

IAR
RR
kathy y pratt,kathy lynne yoakum
Name or #CRD
Location
Firm name
Credentials
Advisor type
Disclosures
OVERVIEW

Kathy Y Rosenblath, who also goes by Kathy Y Pratt, Kathy Lynne Yoakum, is a registered financial advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located in Shreveport, Louisiana.

Kathy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Kathy has worked at 1 firm and has passed the Series 66, Series 31, SIE, Series 7, Series 10 and Series 9 exams.

Disclosures
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Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
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Advisor Information

ADVISOR PROFILE
Services Offered
Insurance
Financial planning
Loans/credit services
Executive services/Equity compensation
Philanthropic services
Trading individual securities
Institutional consulting
Trust & estate planning
Retirement planning
My Ideal Client
Retail
High Net Worth
Ultra High Net Worth
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CREDENTIALS
CREDENTIALS (0)
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (55)
Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming
RR
Alabama (3/18/2013)
RR
Alaska (5/28/2021)
RR
Arizona (6/2/2005)
RR
Arkansas (2/23/2005)
RR
California (2/23/2005)
RR
Colorado (9/15/2004)
RR
Connecticut (9/26/2013)
RR
Delaware (5/28/2021)
RR
District of Columbia (12/7/2017)
RR
Florida (9/11/2012)
RR
Georgia (2/23/2005)
RR
Hawaii (1/17/2017)
RR
Idaho (5/28/2021)
RR
Illinois (5/5/2014)
RR
Indiana (5/28/2021)
RR
Iowa (5/28/2021)
RR
Kansas (7/29/2015)
RR
Kentucky (11/5/2015)
RR
Louisiana (8/30/2000)
IAR
Louisiana (1/21/2015)
RR
Maine (5/28/2021)
RR
Maryland (4/11/2013)
RR
Massachusetts (3/17/2006)
RR
Michigan (5/28/2021)
RR
Minnesota (5/28/2021)
RR
Mississippi (1/6/2006)
RR
Missouri (10/20/2006)
RR
Montana (5/28/2021)
RR
Nebraska (5/28/2021)
RR
Nevada (5/28/2021)
RR
New Hampshire (5/28/2021)
RR
New Jersey (4/9/2013)
RR
New Mexico (4/11/2013)
RR
New York (8/7/2006)
RR
North Carolina (3/19/2013)
RR
North Dakota (5/28/2021)
RR
Ohio (10/25/2013)
RR
Oklahoma (2/23/2005)
RR
Oregon (9/16/2019)
RR
Pennsylvania (4/11/2013)
RR
Puerto Rico (5/28/2021)
RR
Rhode Island (5/28/2021)
RR
South Carolina (7/7/2015)
RR
South Dakota (5/28/2021)
RR
Tennessee (7/30/2014)
IAR
Texas (10/19/2004)
RR
Texas (2/23/2005)
RR
Utah (5/28/2021)
RR
Vermont (5/28/2021)
RR
Virgin Islands (5/28/2021)
RR
Virginia (3/18/2008)
RR
Washington (3/5/2013)
RR
West Virginia (5/28/2021)
RR
Wisconsin (5/28/2021)
RR
Wyoming (5/28/2021)
SRO REGISTRATIONS (9)
RR
Cboe BYX Exchange, Inc. APPROVED
RR
Cboe BZX Exchange, Inc. APPROVED
RR
Cboe EDGA Exchange, Inc. APPROVED
RR
Cboe EDGX Exchange, Inc. APPROVED
RR
Cboe Exchange, Inc. APPROVED
RR
FINRA APPROVED
RR
Investors' Exchange LLC APPROVED
RR
Nasdaq Stock Market APPROVED
RR
New York Stock Exchange APPROVED

Firm Information

Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
CURRENT EMPLOYERS
RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (#7691)
401 Edwards St, Shreveport, LA, 71101
10/19/2004 - Current
BD
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (#7691)
401 Edwards St, Shreveport, LA, 71101
8/30/2000 - Current
PREVIOUS EMPLOYER (0)
advisor profile
Claim Profile

Kathy Y Rosenblath

IAR
RR
Experience: 23 years / 1 firms
CRD#: 4219703

kathy_pratt@ml.com
(318) 455-2219

SeniorFinancial Advisor
Minimum Assets Required:
$ 500,000

LOCATION
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