Kathleen Marie Keable

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-03
TX	RA	APPROVED_RES	2021-03-31
PA	RA	APPROVED	2019-07-22

NY RA
APPROVED

Since 2021-08-03
TX RA
APPROVED_RES

Since 2021-03-31
PA RA
APPROVED

Since 2019-07-22

Branch Locations

Main St, Po Box 140 Nbt Bank, Margaretville, NY 12455 • United States

733 State Hwy 28, Oneonta, NY 13820-3575 • United States

11 East Main Street, Hancock, NY 13783 • United States

108 Second Street, Deposit, NY 13754 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp)	Oneonta	NY	01/2003	Present

01/2003 → Present

Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp)

Oneonta, NY

Other Businesses

1. 1/24/2003 - FINANCIAL CONSULTANT-NO BANK DUTIES - NBT BANK, NA. - SIDNEY, NY. 2. 7/3/2014: NON-VARIABLE INSURANCE - NBT INSURANCE AGENCY, LLC - 10 HOURS PER MONTH DURING TRADING - ONEONTA, NY. 3. 05/02/2019 - NBT INVESTMENT SERVICES - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:5/2/2019.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-01-04
S63	Uniform Securities Agent State Law Examination	1999-03-15

S65 Uniform Investment Adviser Law Examination

2001-01-04
S63 Uniform Securities Agent State Law Examination

1999-03-15

Other Names

Kathleen M Keable
Kathleen Marie Westcott

View on SEC IAPD