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Detailed Report
Kathy HARTLEY Briner
KATHY HARTLEY BRINER, Kathy Briner, KATHY ANN HARTLEY
CRD#: 1534166
IA
Investment Adviser
B
Broker
STEPHENSCRD#: 3496 6075 POPLAR AVENUE
CRESCENT CENTER
MEMPHIS, TN 38119
Registration History
199019952000200520102015202020252 FIRMS2004 - 2007 (3 years)2 FIRMS2007 - 2017 (10 years)2 FIRMS2018 - 2023 (5 years)2 FIRMS2023 - Present (1 year)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1996 - 2004 (8 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1991 - 1995 (4 years)BNBC CAPITAL MARKETS GROUP, INC. (CRD# 18229)1986 - 1991 (5 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - 2004 (<1 year)
License(s)

State Registrations

B
Alabama 11/30/2023
B
Missouri 11/30/2023
B
Arizona 11/30/2023
B
New Jersey 11/30/2023
B
Arkansas 11/30/2023
B
New York 11/30/2023
B
California 11/30/2023
B
North Carolina 11/30/2023
B
Colorado 11/30/2023
B
Oregon 11/30/2023
B
Connecticut 11/30/2023
B
Pennsylvania 11/30/2023
B
Florida 11/30/2023
B
South Carolina 11/30/2023
B
Georgia 11/30/2023
B
Tennessee 11/30/2023
B
Idaho 6/5/2024
IA
Tennessee 11/30/2023
B
Kansas 11/30/2023
B
Texas 11/30/2023
B
Louisiana 11/30/2023
IA
Texas 11/30/2023
B
Maryland 11/30/2023
B
Virginia 11/30/2023
B
Minnesota 11/30/2023
B
Washington 11/30/2023
B
Mississippi 11/30/2023

SRO Registrations

B
 FINRA
B
 NYSE American 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
STEPHENS (CRD#:3496)
6075 POPLAR AVENUE CRESCENT CENTER, MEMPHIS, TN 38119
Registered with this firm since 11/30/2023
B
STEPHENS (CRD#:3496)
6075 POPLAR AVENUE CRESCENT CENTER, MEMPHIS, TN 38119
Registered with this firm since 11/30/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/05/2018 - 12/01/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) RIDGELAND, MS
B
 03/05/2018 - 12/01/2023 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) RIDGELAND, MS
IA
 05/01/2007 - 11/07/2017 LPL FINANCIAL LLC (CRD#:6413) JACKSON, MS
B
 05/01/2007 - 11/07/2017 LPL FINANCIAL LLC (CRD#:6413) JACKSON, MS
IA
 01/29/2004 - 02/20/2007 STANFORD GROUP COMPANY (CRD#:39285) MEMPHIS, TN
B
 01/09/2004 - 02/20/2007 STANFORD GROUP COMPANY (CRD#:39285) MEMPHIS, TN
IA
 01/28/2004 - 02/03/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) MEMPHIS, TN
B
 01/19/1996 - 02/03/2004 UBS FINANCIAL SERVICES INC. (CRD#:8174) WEEHAWKEN, NJ
B
 09/19/1991 - 12/08/1995 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 09/25/1986 - 09/04/1991 NBC CAPITAL MARKETS GROUP, INC. (CRD#:18229) MEMPHIS, TN
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.