Best Investors Account Sign in

Kathleen Ann Neil

Morgan Stanley

Binghamton, NY

Claim This Profile
Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-16
NJ RA APPROVED 2021-01-15
TX RA APPROVED 2021-01-15
  • NY RA
    APPROVED
    Since 2021-06-16
  • NJ RA
    APPROVED
    Since 2021-01-15
  • TX RA
    APPROVED
    Since 2021-01-15

Branch Locations

50 Front Street, Binghamton, NY 13905 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Johnson City NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc Johnson City NY 11/2016 01/2021
Morgan Stanley Smith Barney Llc Binghamton NY 01/2021 Present
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    Johnson City, NY
  • 11/2016 → 01/2021
    Wells Fargo Clearing Services, Llc
    Johnson City, NY
  • 01/2021 → Present
    Morgan Stanley Smith Barney Llc
    Binghamton, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-12-02
  • S66 Uniform Combined State Law Examination
    2010-12-02
Other Names
  • Kathleen Ann Arnold
  • Kathleen Ann Rogers
  • Katheen Ann Purdy
  • Kathleen A Purdy
  • Kathleen A Arnold

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
STIFEL, NICOLAUS & COMPANY, INCORPORATED
LPL FINANCIAL LLC
S.E.E.D. PLANNING GROUP, LLC
EQUITABLE ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
CETERA INVESTMENT ADVISERS LLC

Other Investors

Maria Wilhelm
Glenn C Gaydorus
J S FREEMAN
MATTHEW THOMAS WASSER
PATRICIA L PAPPAS-O'DAY
KAY ROZELLE MATHIAS
ROBERT W GARBADE
Alexis M George

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BINGHAMTON, NY
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. · Binghamton, NY
STIFEL, NICOLAUS & COMPANY, INCORPORATED · BINGHAMTON, NY
LPL FINANCIAL LLC · BINGHAMPTON, NY
LPL FINANCIAL LLC · BINGHAMTON, NY
S.E.E.D. PLANNING GROUP, LLC · BINGHAMTON, NY
LPL FINANCIAL LLC · BINGHAMTON, NY
LPL FINANCIAL LLC · BINGHAMTON, NY

More in Binghamton, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor