Kaktrale M Austin

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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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	2012-06-15
MD	RA	APPROVED	2009-10-23

TX RA
APPROVED_RES

Since 2012-06-15
MD RA
APPROVED

Since 2009-10-23

Branch Locations

10320 Little Patuxent Pkwy, Columbia, MD 21044 • 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	Greenbelt	MD	10/2009	Present
Bank Of America,N.A.	Columbia	MD	06/2011	Present

10/2009 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenbelt, MD
06/2011 → Present

Bank Of America,N.A.

Columbia, MD

Previous Registrations

2003-09-04 → 2009-10-23

Banc Of America Investment Services, Inc.

Baltimore, MD

Greenbelt, MD

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-09-03
S63	Uniform Securities Agent State Law Examination	2001-04-11

S65 Uniform Investment Adviser Law Examination

2003-09-03
S63 Uniform Securities Agent State Law Examination

2001-04-11

Other Names

Kaktrale Maurice Austin

View on SEC IAPD

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