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Kathy Hartley Briner

Stephens

Memphis, TN

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Current Employers
Stephens

111 Center St, Little Rock, AR 72201 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2023-11-30
TX RA APPROVED 2023-11-30
  • TN RA
    APPROVED
    Since 2023-11-30
  • TX RA
    APPROVED
    Since 2023-11-30

Branch Locations

6075 Poplar Avenue Crescent Center, Memphis, TN 38119 • 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
Linsco Private Ledger Southaven MS 05/2007 11/2017
Bankplus Southaven MS 05/2007 11/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Ridgeland MS 03/2018 11/2023
Unemployed Madison MS 11/2017 03/2018
Bank Of America, N.A. Ridgeland MS 04/2018 11/2023
Stephens Inc. Memphis TN 11/2023 Present
  • 05/2007 → 11/2017
    Linsco Private Ledger
    Southaven, MS
  • 05/2007 → 11/2017
    Bankplus
    Southaven, MS
  • 03/2018 → 11/2023
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Ridgeland, MS
  • 11/2017 → 03/2018
    Unemployed
    Madison, MS
  • 04/2018 → 11/2023
    Bank Of America, N.A.
    Ridgeland, MS
  • 11/2023 → Present
    Stephens Inc.
    Memphis, TN
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-03-19
S65 Uniform Investment Adviser Law Examination 1996-10-02
S63 Uniform Securities Agent State Law Examination 1986-08-07
  • S66 Uniform Combined State Law Examination
    2018-03-19
  • S65 Uniform Investment Adviser Law Examination
    1996-10-02
  • S63 Uniform Securities Agent State Law Examination
    1986-08-07
Other Names
  • Kathy Ann Hartley
  • Kathy Hartley Briner
  • Kathy Briner

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
NEWSOUTH CAPITAL MANAGEMENT INC · MEMPHIS, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Memphis, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Memphis, TN
PRIVATE ADVISOR GROUP, LLC · Memphis, TN
LPL FINANCIAL LLC · MEMPHIS, TN
B. RILEY WEALTH ADVISORS, INC. · Memphis, TN

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