Kathaleen K. Bauer
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kathaleen K Bauer, AIF®, who also goes by Kathaleen Margaret Kinsey, Kathaleen Margaret Purcell, was a registered financial professional .
Kathaleen is a previously registered financial professional and started their career in finance in 2003. Kathaleen had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2013 - May 23, 2022
MURPHY & SYLVEST
February 25, 2005 - January 15, 2013
MML INVESTORS SERVICES, LLC
February 23, 2005 - December 31, 2006
HFG ADVISORS, L.L.C.
December 2, 2003 - January 15, 2013
MML INVESTORS SERVICES, LLC
Primary Firm SEC Registration
MURPHY & SYLVEST
CRD#: 165130 / SEC#: 801-113128
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MURPHY & SYLVEST
CRD#: 165130 / SEC#: 801-113128
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,186 |
| AUM (Assets Under Management) | $ 378,968,097 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 10/25/2023 | ||
| 12/07/2022 |
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.
