Katherine E. Davis
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.
Katherine Elizabeth F Davis, who also goes by Katherine E Davis, Katherine E Murphy, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2015. Katherine had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2025 - March 24, 2025
KESTRA INVESTMENT SERVICES, LLC
July 18, 2023 - March 12, 2025
LPL FINANCIAL LLC
March 12, 2021 - June 9, 2023
PURSHE KAPLAN STERLING INVESTMENTS
March 4, 2019 - January 29, 2021
COMMONWEALTH FINANCIAL NETWORK
February 27, 2019 - January 29, 2021
COMMONWEALTH FINANCIAL NETWORK
April 23, 2018 - February 12, 2019
RBC CAPITAL MARKETS, LLC
April 23, 2018 - February 12, 2019
RBC CAPITAL MARKETS, LLC
January 19, 2017 - April 19, 2018
RESOURCE SECURITIES LLC
October 28, 2015 - August 25, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2015 - August 25, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
