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KATHERINE PRATT RICHARDSON
CRD#: 4417783
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 200 ENDICOTT STREET
DANVERS, MA 01923
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 200 ENDICOTT STREET
DANVERS, MA 01923
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2010 - 2019 (9 years)2 FIRMS2020 - Present (5 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2004 - 2010 (5 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)2001 - 2002 (<1 year)
License(s)

State Registrations

B
Arizona 4/19/2022

IA
New Hampshire 5/15/2020

B
California 3/23/2021

B
New Jersey 8/29/2024

B
Florida 1/23/2020

B
New York 2/12/2021

B
Georgia 12/5/2023

B
North Carolina 7/21/2023

B
Iowa 4/7/2023

B
Oregon 2/5/2024

B
Maine 1/23/2020

B
Rhode Island 8/2/2023

B
Maryland 6/4/2021

B
South Carolina 3/4/2022

B
Massachusetts 1/23/2020

B
Texas 4/9/2021

IA
Massachusetts 2/7/2020

IA
Texas 6/4/2021

B
New Hampshire 1/23/2020

B
Virginia 7/19/2024

SRO Registrations

B
FINRA

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
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
200 ENDICOTT STREET, DANVERS, MA 01923
Registered with this firm since 2/7/2020

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
200 ENDICOTT STREET, DANVERS, MA 01923
BEDFORD, NH
Registered with this firm since 1/23/2020

Previous Registration(s)
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IA
06/28/2010 - 12/16/2019 MORGAN STANLEY (CRD#:149777) BOSTON, MA
B
05/14/2010 - 12/16/2019 MORGAN STANLEY (CRD#:149777) BOSTON, MA
B
07/30/2004 - 05/20/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) BOSTON, MA
B
08/10/2001 - 04/26/2002 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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B
Broker
IA
Investment Adviser
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.