Kate Walsh
Professional summary
Kate Walsh, who also goes by Kate B Walsh, Kate Walsh, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Hartford, Connecticut.
Kate is registered as a RR (Registered Representative) and started their career in finance in 2015. Kate has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kate Walsh's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 5, 2025 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
Office #1: 280 Trumbull Street, Hartford, CT 06103March 7, 2023 - April 30, 2025
THE LEADERS GROUP, INC.
April 1, 2020 - December 19, 2022
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 18, 2016 - April 1, 2020
PRUCO SECURITIES, LLC.
August 28, 2015 - September 8, 2016
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/5/2025)
Exams
FINRA
Current Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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