KM
Kathleen M. Moreno-ketchum
ALLSPRING FUNDS DISTRIBUTOR
New York, NY 10017
Some features on this profile are disabled
CRD#: 5957873
KM
Professional summary
Kathleen Mary Moreno-ketchum, who also goes by Kathleen Mary Ketchum, Kathleen Ketchum, is a registered financial professional currently at ALLSPRING FUNDS DISTRIBUTOR, LLC located in New York, New York.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 2011. Kathleen has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathleen Mary Ketchum | Kathleen Ketchum
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.
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Mary Moreno-ketchum'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®
NoneExperience
Current
November 3, 2017 - Present
ALLSPRING FUNDS DISTRIBUTOR, LLC
Office #1: 330 Madison Avenue 35th Floor, New York, NY 10017BD
CRD#: 133366
New York, NY
Past
October 3, 2011 - November 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
August 12, 2011 - November 14, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Alabama(11/3/2017)
RR
Alaska(11/3/2017)
RR
Arizona(11/3/2017)
RR
Arkansas(11/3/2017)
RR
California(11/3/2017)
RR
Colorado(11/3/2017)
RR
Connecticut(11/3/2017)
RR
Delaware(11/3/2017)
RR
District of Columbia(11/3/2017)
RR
Florida(11/3/2017)
RR
Georgia(11/3/2017)
RR
Hawaii(11/3/2017)
RR
Idaho(11/3/2017)
RR
Illinois(11/3/2017)
RR
Indiana(11/3/2017)
RR
Iowa(11/3/2017)
RR
Kansas(11/3/2017)
RR
Kentucky(11/3/2017)
RR
Louisiana(11/3/2017)
RR
Maine(11/3/2017)
RR
Maryland(11/3/2017)
RR
Massachusetts(11/3/2017)
RR
Michigan(11/3/2017)
RR
Minnesota(11/3/2017)
RR
Mississippi(11/3/2017)
RR
Missouri(11/3/2017)
RR
Montana(11/3/2017)
RR
Nebraska(11/3/2017)
RR
Nevada(11/3/2017)
RR
New Hampshire(11/3/2017)
RR
New Jersey(11/3/2017)
RR
New Mexico(11/3/2017)
RR
New York(11/3/2017)
RR
North Carolina(11/3/2017)
RR
North Dakota(11/3/2017)
RR
Ohio(11/3/2017)
RR
Oklahoma(11/3/2017)
RR
Oregon(11/3/2017)
RR
Pennsylvania(11/3/2017)
RR
Puerto Rico(11/3/2017)
RR
Rhode Island(11/3/2017)
RR
South Carolina(11/3/2017)
RR
South Dakota(11/3/2017)
RR
Tennessee(11/3/2017)
RR
Texas(11/3/2017)
RR
Utah(11/3/2017)
RR
Vermont(11/3/2017)
RR
Virgin Islands(11/3/2017)
RR
Virginia(11/3/2017)
RR
Washington(11/3/2017)
RR
West Virginia(11/3/2017)
RR
Wisconsin(11/3/2017)
RR
Wyoming(11/3/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLSPRING FUNDS DISTRIBUTOR, LLC
ALLSPRING FUNDS DISTRIBUTOR, LLC | WELLS FARGO FUNDS DISTRIBUTOR, LLC
CRD#: 133366 / SEC#: , 8-66716
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1415 Vantage Park Drive, Charlotte, NC 28203
Mailing Address
417 E Chicago Street, Milwaukee, WI 53052
Phone number
(888) 877-9275
Established
Delaware since 07/09/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSPRING GLOBAL INVESTMENTS HOLDINGS LLC | PARENT | |
| GIBSON, LORI MITCHUM | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 3070238 |
| KENNEY, JOHN DUFF | DIRECTOR | 2387755 |
| MCKINLEY, KATHERINE SANDMAN | CHIEF LEGAL OFFICER | 6807581 |
| MONINGER, JOHN KENNETH | PRESIDENT/CHAIRMAN | 2494976 |
| WILARY, CAROLYN ANN | CHIEF COMPLIANCE OFFICER | 4220513 |
Disclosures
| Regulatory Event | 1 |
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.
