Best Investors Account Sign in

Kathryn M Welles

Merrill Lynch, Pierce, Fenner & Smith Incorporated

North Kingstown, RI

New York, NY

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2011-10-03
RI RA APPROVED 2011-09-21
  • TX RA
    APPROVED_RES
    Since 2011-10-03
  • RI RA
    APPROVED
    Since 2011-09-21

Branch Locations

6725 Post Rd, North Kingstown, RI 02852 • United States

One Bryant Park, New York, NY 10036 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated North Kingstown RI 08/2011 Present
Bank Of America, N.A. North Kingstown RI 10/2011 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-11-09
S63 Uniform Securities Agent State Law Examination 1999-11-05
  • S65 Uniform Investment Adviser Law Examination
    2006-11-09
  • S63 Uniform Securities Agent State Law Examination
    1999-11-05
Other Names
  • Kathryn Margaret Hansmann
  • Kathryn Margaret Hansmann
  • Kathryn Ha Hansmann
  • Kathryn Margaret Hansmann
  • Kathryn Ha Welles

View on SEC IAPD

Other Firms

COMMONWEALTH FINANCIAL NETWORK
VERITAS WEALTH MANAGEMENT
AMERIPRISE FINANCIAL SERVICES, LLC
CITIZENS SECURITIES, INC.
TRUEFOCUS FINANCIAL PARTNERS
EDWARD JONES
CORNERSTONE FINANCIAL MANAGEMENT LLC
WICKFORD WEALTH MANAGEMENT, LLC

Other Investors

KEVIN MANUEL VIEIRA
MICHAEL SAMUEL ABBOOD
THOMAS SAMUEL ABBOOD
PAUL JOHN DI PALMA
Ricardo Almedia Jesuino
MARY KATHRYN KONETZNY
JONATHAN M ULLMAN
Kimberly Beth Holmes

Other Offices

COMMONWEALTH FINANCIAL NETWORK · North Kingstown, RI
VERITAS WEALTH MANAGEMENT · NORTH KINGSTOWN, RI
AMERIPRISE FINANCIAL SERVICES, LLC · NORTH KINGSTOWN, RI
CITIZENS SECURITIES, INC. · NORTH KINGSTOWN, RI
TRUEFOCUS FINANCIAL PARTNERS · NORTH KINGSTOWN, RI
EDWARD JONES · North Kingstown, RI
CORNERSTONE FINANCIAL MANAGEMENT LLC · North Kingstown, RI
WICKFORD WEALTH MANAGEMENT, LLC · NORTH KINGSTOWN, RI

More in North Kingstown, RI

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor