Kathleen K Smith

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	2010-02-18
VA	RA	APPROVED	2002-04-30

TX RA
APPROVED_RES

Since 2010-02-18
VA RA
APPROVED

Since 2002-04-30

Branch Locations

110 Franklin Rd Se, Roanoke, VA 24011 • 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

Organization	City	State	From	To
Merrill Lynch	Roanoke	VA	09/1998	Present

09/1998 → Present

Merrill Lynch

Roanoke, VA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-02-19

S66 Uniform Combined State Law Examination

2002-02-19

Other Names

Kathleen Elaine Killen

View on SEC IAPD

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john aston edmunds

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ELIZABETH ROBERTS THOMAS

Other Offices

COMMONWEALTH FINANCIAL NETWORK · Roanoke, VA

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Roanoke, VA

CETERA INVESTMENT ADVISERS LLC · CAVE SPRING, VA

STATE FARM INVESTMENT MANAGEMENT CORP. · Roanoke, VA

TRUIST ADVISORY SERVICES, INC. · ROANOKE, VA

TRUIST ADVISORY SERVICES, INC. · ROANOKE, VA

LPL FINANCIAL LLC · ROANOKE, VA

HORNOR, TOWNSEND & KENT, LLC · ROANOKE, VA

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