Best Investors Account Sign in

Kathleen Ann Richardson

Raymond James & Associates, Inc.

Carmel, IN

Claim This Profile
Current Employers
Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2012-02-07
  • IN RA
    APPROVED
    Since 2012-02-07

Branch Locations

10401 N Meridian St Ste 130, Carmel, IN 46290-1090 • 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
Raymond James & Associates Indianapolis IN 02/2012 Present
  • 02/2012 → Present
    Raymond James & Associates
    Indianapolis, IN
Previous Registrations
  • 2009-06-01 → 2012-02-16
    Morgan Stanley
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
  • 2006-02-13 → 2009-06-01
    Citigroup Global Markets Inc.
    Indianapolis, IN
    Indianapolis, IN
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-02-09
S63 Uniform Securities Agent State Law Examination 1993-04-12
  • S65 Uniform Investment Adviser Law Examination
    2006-02-09
  • S63 Uniform Securities Agent State Law Examination
    1993-04-12
Other Names
  • Kathleen Ann Gerde
  • Kathleen Ann Farner

View on SEC IAPD

More in Carmel, IN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor