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KATHERINE C MALLERY
KATHERINE LYNN CRABTREE, KATHERINE CRABTREE MALLERY, KATHY MALLERY, KATHERINE LYNN RICKEY
CRD#: 1270019
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 208 GOLDEN OAK CT
VIRGINIA BEACH, VA 23452
VIRGINIA BEACH, VA 23452
0
Disclosures
37
Years of Experience
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State Registrations
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Alabama 1/30/2012
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Montana 12/20/2024
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Alaska 9/21/2017
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Nevada 2/23/2012
B
Arizona 1/23/2012
B
New Hampshire 1/20/2012
B
Arkansas 7/9/2024
B
New Jersey 1/24/2012
B
California 1/20/2012
B
New York 1/19/2012
B
Colorado 1/20/2012
B
North Carolina 1/19/2012
B
Connecticut 1/20/2012
B
Ohio 1/20/2012
B
Delaware 1/20/2012
B
Oregon 1/23/2012
B
District of Columbia 1/20/2012
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Pennsylvania 1/20/2012
B
Florida 1/20/2012
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Pennsylvania 9/20/2024
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Georgia 1/19/2012
B
Puerto Rico 9/21/2017
B
Hawaii 2/3/2012
B
Rhode Island 1/20/2012
B
Idaho 1/17/2023
B
South Carolina 1/20/2012
B
Illinois 1/19/2012
B
Tennessee 2/6/2012
B
Indiana 1/23/2012
B
Texas 2/6/2012
B
Iowa 11/22/2019
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Texas 2/26/2016
B
Kansas 1/20/2012
B
Utah 1/20/2012
B
Kentucky 1/19/2012
B
Vermont 1/24/2012
B
Louisiana 1/23/2012
B
Virgin Islands 1/23/2012
B
Maine 1/20/2012
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Virginia 1/19/2012
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Maryland 1/24/2012
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Virginia 2/26/2016
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Massachusetts 1/19/2012
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Washington 1/24/2012
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Michigan 1/23/2012
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West Virginia 1/26/2012
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Mississippi 1/25/2012
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West Virginia 9/26/2024
B
Missouri 1/19/2012
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Wisconsin 7/16/2021
SRO Registrations
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Registered with this firm since 2/26/2016
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Registered with this firm since 1/19/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/28/2011 - 01/04/2012 | VIRGINIA BEACH, VA | |
B | 09/12/2007 - 01/04/2012 | VIRGINIA BEACH, VA | |
B | 04/09/1998 - 09/13/2007 | VIRGINIA BEACH, VA | |
B | 09/18/1997 - 04/17/1998 | CHARLOTTE, NC | |
B | 04/22/1997 - 09/15/1997 | NEW YORK, NY | |
B | 12/02/1996 - 04/24/1997 | LOS ANGELES, CA | |
B | 05/24/1995 - 12/31/1995 | SUFFOLK, VA | |
B | 04/25/1994 - 04/28/1995 | NEW YORK, NY | |
B | 05/27/1986 - 06/03/1992 | NEW YORK, NY | |
B | 07/26/1984 - 06/17/1986 |
VIRGINIA BEACH, VA
04/09/1998 - 09/13/2007
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.