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KATHLEEN MURPHY
KATHLEEN EVANS, KATHLEEN THERESA MURPHY
CRD#: 6019163
IA
B
LINCOLN INVESTMENTCRD#: 519 20 GATEHOUSE ROAD
AMHERST, MA 01002
AMHERST, MA 01002
0
Disclosures
12
Years of Experience
View By:
State Registrations
B
Florida 1/2/2024
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New Hampshire 1/2/2024
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Massachusetts 1/2/2024
B
New York 1/2/2024
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Massachusetts 1/9/2024
B
Vermont 1/2/2024
B
New Hampshire 1/2/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 1/2/2024
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Registered with this firm since 1/2/2024
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/16/2023 - 01/02/2024 | ROXBURY, NH | |
B | 08/16/2023 - 01/02/2024 | PALM BEACH GARDENS, FL | |
IA | 07/02/2014 - 09/12/2023 | NASHUA, NH | |
B | 07/02/2014 - 09/12/2023 | NASHUA, NH | |
IA | 06/10/2013 - 01/30/2014 | NASHUA, NH | |
B | 06/10/2013 - 01/30/2014 | NASHUA, NH | |
IA | 05/22/2012 - 05/31/2013 | KEENE, NH | |
B | 03/07/2012 - 05/31/2013 | KEENE, NH |
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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.
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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.