Kathleen D. Whisler
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.
Kathleen Diane Whisler, who also goes by Kathleen M Moorhouse, Kathleen Murphy Moorhouse, Kathleen Diane Murphy, Kathleen Murphy, Kathleen Murphy Phillips, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1981. Kathleen had worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2005 - April 16, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
March 25, 2002 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 18, 2000 - April 16, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 3, 1999 - May 1, 2000
UBS FINANCIAL SERVICES INC.
May 12, 1993 - October 5, 1999
PIPER SANDLER & CO.
March 21, 1984 - April 30, 1993
GKB, INC.
July 20, 1981 - March 16, 1984
B.C. CHRISTOPHER SECURITIES CO.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
