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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)35 years in industry

KATHRYN LOUISE FITZGERALD

Advisor at MML INVESTORS SERVICES, LLC

NAPA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Aug 30, 1999 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MML INVESTORS SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 26, 1990earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Oct 26, 1990
First registration: Aug 30, 1999
Dual registered: yes, broker-dealer
Other names: KATHRYN LOUISE TRIBBEY|KATHRYN LOUISE TRIBBEY
IAPD individual key: 1411000

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	n/a	yes	NAPA, CA	Current employment
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 28, 2014	Mar 25, 2017	no	WALNUT CREEK, CA\|NAPA, CA\|Napa, CA\|NAPA, CA	Previous registration
NEWPORT COAST ASSET MANAGEMENT	Former SEC adviser	Mar 16, 2010	Jul 25, 2014	no	IRVINE, CA\|NAPA, CA\|NEW YORK, NY	Previous registration
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Jul 10, 2007	Mar 15, 2010	no	NAPA, CA	Previous registration
WEDBUSH SECURITIES INC.	Bd affiliated wealth	Jun 26, 2007	Jul 5, 2007	no	PASADENA, CA	Previous registration
BROOKSTREET SECURITIES CORPORATION	n/a	Jan 9, 2006	Jun 26, 2007	no	NAPA, CA	Previous registration
INVESTACORP ADVISORY SERVICES INC	Former SEC adviser	Aug 30, 1999	Dec 31, 2005	no	NAPA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
NEWPORT COAST ASSET MANAGEMENT	MSI FINANCIAL SERVICES, INC.	Jul 25, 2014	Jul 28, 2014	3	Firm change	Other
B. RILEY WEALTH ADVISORS, INC.	NEWPORT COAST ASSET MANAGEMENT	Mar 15, 2010	Mar 16, 2010	1	Firm change	Other
WEDBUSH SECURITIES INC.	B. RILEY WEALTH ADVISORS, INC.	Jul 5, 2007	Jul 10, 2007	5	Firm change	Other
BROOKSTREET SECURITIES CORPORATION	WEDBUSH SECURITIES INC.	Jun 26, 2007	Jun 26, 2007	0	Firm change	Other
INVESTACORP ADVISORY SERVICES INC	BROOKSTREET SECURITIES CORPORATION	Dec 31, 2005	Jan 9, 2006	9	Firm change	Other

Relationships

Registered with (7)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Mar 25, 2017 to presentfactForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 28, 2014 to Mar 25, 2017factForm ADV
→ NEWPORT COAST ASSET MANAGEMENTRegistered adviserregistration: previous registration
Mar 16, 2010 to Jul 25, 2014factForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Jul 10, 2007 to Mar 15, 2010factForm ADV
→ WEDBUSH SECURITIES INC.Registered adviserregistration: previous registration
Jun 26, 2007 to Jul 5, 2007factForm ADV
→ BROOKSTREET SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Jan 9, 2006 to Jun 26, 2007factForm ADV
→ INVESTACORP ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Aug 30, 1999 to Dec 31, 2005factForm ADV

Dated events

No dated event names this entity yet.