Kathleen R. Duffy

BRYN MAWR TRUST ADVISORS

Berwyn, PA 19312

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CRD#: 5048311

Professional summary

Kathleen R Duffy, who also goes by Kathleen R. Duffy, Kathleen Regina Duffy, Kathleen Duffy, Kate Duffy, Kathleen D. Pecoraro, Kathleen Duffy Pecoraro, is a registered financial advisor currently at BRYN MAWR TRUST ADVISORS, LLC located in Berwyn, Pennsylvania.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Kathleen has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

*422625 - Women in Bio; Investment related No; Sea Island; Georgia; Non-Profit/Civic/Community; Other Committee/Chair(proprietor, partner, officer, director, employee, trustee, agent);02/2021; During business hours: 1; After business hours: 3; Help organize events for members, Accounting/Bookkeeping, Administrative

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen R Duffy'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

July 2, 2024 - Present

BRYN MAWR TRUST ADVISORS, LLC

Office #1: 1436 Lancaster Avenue, Berwyn, PA 19312

RIA

CRD#: 285359

Berwyn, PA

Past

June 10, 2020 - June 12, 2024

MORGAN STANLEY

RIA

CRD#: 149777

West Conshohocken, PA

Past

May 18, 2020 - June 12, 2024

MORGAN STANLEY

CRD#: 149777

West Conshohocken, PA

Past

December 6, 2005 - June 19, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BALA CYNWYD, PA

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".

BRYN MAWR TRUST ADVISORS, LLC

CRD#: 285359 / SEC#: 801-108434

RIA

Registered Investment Advisory firm - (10/6/2016 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Delaware
(7/3/2024)

IAR

Pennsylvania
(7/2/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/10/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/9/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 5/17/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/9/2020

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/5/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRYN MAWR TRUST ADVISORS, LLC

CRD#: 285359 / SEC#: 801-108434

RIA

Registered Investment Advisory firm - (10/6/2016 Approved)

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Contact information

Main Address

1818 Market Street 22nd Floor, Philadelphia, PA 19103

Mailing Address

Phone number

(215) 731-1820

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRYN MAWR TRUST ADVISORS LLC FORM ADV PART 2A_06302025 (6/30/2025)

Regulatory assets under management

Total Number of Accounts	3,371
AUM (Assets Under Management)	$ 3,011,732,671

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/13/2024	Cover Page	Report
04/09/2024	Cover Page	Report
02/27/2023	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

Kathleen R. Duffy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen R Duffy's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

BRYN MAWR TRUST ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/10/2020

Series 63

Date: 12/9/2005

Series 7TO

Date: 5/17/2020

SIE

Date: 3/9/2020

Series 6

Date: 12/5/2005

Current Firm

BRYN MAWR TRUST ADVISORS, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRYN MAWR TRUST ADVISORS, LLC

TRUST BUT VERIFY

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