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Kimberly Anne Mccaslin

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Indianapolis, IN

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-09-07
IN RA APPROVED 2017-09-05
  • TX RA
    APPROVED_RES
    Since 2017-09-07
  • IN RA
    APPROVED
    Since 2017-09-05

Branch Locations

510 E 96Th St Pbig - Indiana, Indianapolis, IN 46240 • 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
Morgan Stanley Indianapolis IN 06/2009 08/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Indianapolis IN 08/2017 Present
Previous Registrations
  • 2009-06-01 → 2017-08-21
    Morgan Stanley
    Indianapolis, IN
    Indianapolis, IN
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Indianapolis, IN
  • 2002-06-24 → 2007-04-02
    Morgan Stanley Dw Inc.
    Indianapolis, IN
    Indianapolis, IN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-20
  • S66 Uniform Combined State Law Examination
    2002-06-20
Other Names
  • Kimberly A Whalen
  • Kimberly A Whalen
  • Kim Mccaslin
  • Kimberly A Mccaslin
  • Kimberly Anne Mccaslin
  • Kimberly Mccaslin

View on SEC IAPD

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Other Offices

SANCTUARY ADVISORS, LLC · Indianapolis, IN
SANCTUARY ADVISORS, LLC · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
STATE FARM INVESTMENT MANAGEMENT CORP. · Indianapolis, IN
NORTHWEST FINANCIAL SERVICES INC · INDIANAPOLIS, IN
NORTHWEST FINANCIAL SERVICES INC · Indianapolis, IN
INVESTMENT ADVISORS OF INDIANAPOLIS INC · INDIANAPOLIS, IN
BAXTER CAPITAL MANAGEMENT INC · INDIANAPOLIS, IN

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