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Kathlyn G Caplin

Edward Jones

St. Louis, MO

Tempe, AZ

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2018-05-24
  • AZ RA
    APPROVED
    Since 2018-05-24

Branch Locations

12555 Manchester Road, St. Louis, MO 63131 • United States

8640 S River Parkway, Tempe, AZ 85284 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Edward Jones Tempe AZ 12/2014 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-05-22
  • S66 Uniform Combined State Law Examination
    2018-05-22
Other Names
  • Kathlyn Grace De Leon
  • Maria Kathlyn De Leon
  • Maria Dona Kathlyn Grace De Leon
  • Kathlyn Caplin
  • Kathlyn Grace Caplin

View on SEC IAPD

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