Kathleen A Richards

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2007-05-22
CT	RA	APPROVED	2002-11-04

TX RA
APPROVED_RES

Since 2007-05-22
CT RA
APPROVED

Since 2002-11-04

Branch Locations

25 Burlington Mall Rd, Burlington, MA 01803 • United States

Boxford, MA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Burlington	MA	10/1987	Present
Bank Of America, N.A.	Burlington	MA	05/2011	Present

10/1987 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Burlington, MA
05/2011 → Present

Bank Of America, N.A.

Burlington, MA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-02-28
S63	Uniform Securities Agent State Law Examination	1988-02-24

S65 Uniform Investment Adviser Law Examination

1995-02-28
S63 Uniform Securities Agent State Law Examination

1988-02-24

Other Names

Kathleen Ann Saba
Kathleen Saba

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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