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KM

Kathleen Mcnamara

DELAWARE DISTRIBUTORS, L.P.
Philadelphia, PA 19106
Some features on this profile are disabled
CRD#: 4813006
KM

Professional summary

Kathleen Mcnamara, who also goes by Kathleen E Hess, Kathleen Elizabeth Hess, Kathleen Hess, Kathleen Hess Mcnamara, is a registered financial professional currently at DELAWARE DISTRIBUTORS, L.P. located in Philadelphia, Pennsylvania.

Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2013. Kathleen has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kathleen E Hess | Kathleen Elizabeth Hess | Kathleen Hess | Kathleen Hess Mcnamara

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 Kathleen Mcnamara's 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

March 30, 2020 - Present

DELAWARE DISTRIBUTORS, L.P.

Office #1: 610 Market St 100 Independence, Philadelphia, PA 19106
BD
CRD#: 14232
Philadelphia, PA
Past

July 18, 2018 - February 25, 2020

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Radnor, PA
Past

April 9, 2013 - September 24, 2013

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
Pennsylvania
(3/30/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/2018
Uniform Securities Agent 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: 7/18/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DD
DELAWARE DISTRIBUTORS, L.P.
DELAWARE DISTRIBUTORS, L.P. | DELAWARE DISTRIBUTORS,INC.

CRD#: 14232 / SEC#: , 8-29755

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

Main Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354
Mailing Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354
Phone number
(215) 255-1200
Established
Delaware since 12/21/1994
Firm type
Partnership
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP")LIMITED PARTNER OF APPLICANT
IVY DISTRIBUTORS, INC.LIMITED PARTNER OF APPLICANT
CONNOR, DAVID FORRESTERDIRECTOR4243088
DELAWARE CAPITAL MANAGEMENT, A SERIES OF MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM")LIMITED PARTNER OF APPLICANT
DELAWARE DISTRIBUTORS, INC. ("DDI")GENERAL PARTNER OF APPLICANT
GARVEY, THOMAS FCHIEF COMPLIANCE OFFICER2845051
HOBAN, STEPHEN (NO MIDDLE NAME)FINOP5089370
HOBAN, STEPHEN (NO MIDDLE NAME)VP/CHIEF FINANCIAL OFFICER5089370
HUTCHINSON, MILISSA ANNPRESIDENT5727922
LYTLE, SHAWN KEITHDIRECTOR5816747
SALUS, RICHARD (NO MIDDLE NAME)DIRECTOR2850592

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

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232Philadelphia, PA 19106

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