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KATHLEEN ANN NEIL
KATHLEEN A ARNOLD, KATHLEEN ANN ARNOLD, KATHEEN ANN PURDY, KATHLEEN A PURDY, KATHLEEN ANN ROGERS
CRD#: 708983
IA
B
MORGAN STANLEYCRD#: 149777 50 Front Street
BINGHAMTON, NY 13905
BINGHAMTON, NY 13905
0
Disclosures
44
Years of Experience
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State Registrations
B
Alaska 12/17/2021
B
Nebraska 12/17/2021
B
Arizona 12/17/2021
B
Nevada 4/16/2021
B
Arkansas 1/15/2021
B
New Hampshire 12/17/2021
B
California 1/15/2021
B
New Jersey 1/15/2021
B
Colorado 1/15/2021
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New Jersey 1/15/2021
B
Connecticut 1/15/2021
B
New Mexico 1/6/2022
B
Delaware 1/15/2021
B
New York 1/15/2021
B
District of Columbia 12/17/2021
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New York 6/16/2021
B
Florida 1/15/2021
B
North Carolina 1/15/2021
B
Georgia 12/17/2021
B
Ohio 4/19/2021
B
Hawaii 12/17/2021
B
Oregon 1/15/2021
B
Idaho 5/27/2021
B
Pennsylvania 1/15/2021
B
Illinois 12/17/2021
B
Rhode Island 12/17/2021
B
Indiana 1/15/2021
B
South Carolina 1/15/2021
B
Kentucky 9/8/2023
B
Tennessee 12/17/2021
B
Louisiana 9/8/2023
B
Texas 1/15/2021
B
Maine 12/2/2021
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Texas 1/15/2021
B
Maryland 1/6/2022
B
Utah 5/15/2023
B
Massachusetts 1/15/2021
B
Vermont 1/15/2021
B
Michigan 4/16/2021
B
Virginia 1/15/2021
B
Minnesota 3/7/2022
B
Washington 1/15/2021
B
Missouri 12/17/2021
B
Wisconsin 1/15/2021
B
Montana 12/17/2021
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 1/15/2021
B
Registered with this firm since 1/15/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/03/2010 - 01/19/2021 | JOHNSON CITY, NY | |
B | 08/05/2000 - 01/19/2021 | JOHNSON CITY, NY | |
B | 05/23/1980 - 08/05/2000 | NEW YORK, NY |
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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.
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.