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Detailed Report
KATHLEEN ANN RICHARDSON
KATHLEEN ANN FARNER, KATHLEEN ANN GERDE
CRD#: 1428299
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 10401 N Meridian St
Ste 130
Carmel, IN 46290-1090
Registration History
19952000200520102015202020252 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - Present (13 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2005 - 2009 (4 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1998 - 2005 (7 years)BSMITH BARNEY INC. (CRD# 7059)1993 - 1998 (5 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2009 (3 years)
License(s)

State Registrations

IA
Indiana 2/7/2012
B
Indiana 2/8/2012

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
10401 N Meridian St Ste 130, Carmel, IN 46290-1090
Registered with this firm since 2/7/2012
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
10401 N Meridian St Ste 130, Carmel, IN 46290-1090
Registered with this firm since 2/8/2012
Previous Registration(s)
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IA
 06/01/2009 - 02/16/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) INDIANAPOLIS, IN
B
 06/01/2009 - 02/16/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) INDIANAPOLIS, IN
IA
 02/13/2006 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) INDIANAPOLIS, IN
B
 04/19/2005 - 06/01/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) INDIANAPOLIS, IN
B
 02/20/1998 - 04/28/2005 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 03/25/1993 - 03/13/1998 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.