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Kathryn Linda Maffei

LPl Financial LLC

Winchester, MA

Lexington, MA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2006-01-10
  • MA RA
    APPROVED
    Since 2006-01-10

Branch Locations

Winchester, MA • United States

1666 Massachusetts Ave Ste 2, Lexington, MA 02420 • 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
Lpl Financial Llc Lexington MA 12/1989 Present
Other Businesses

1. 03/21/2008 - KLM FINANCIAL, INC - NON-VARIABLE INSURANCE DBA - 20% TIME SPENT - I AM THE PRESIDENT OF KLM FINANCIAL, IN.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-01-30
S63 Uniform Securities Agent State Law Examination 1983-12-07
  • S65 Uniform Investment Adviser Law Examination
    1996-01-30
  • S63 Uniform Securities Agent State Law Examination
    1983-12-07
Designations

View on SEC IAPD

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