Kathleen Martorano

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2008 → 09/2018
  Robert W Baird & Co
  Chicago, IL
• 10/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chicago, IL
• 05/2015 → 12/2016
  Shiftgig Bullpen
  Chicago, IL

Previous Registrations

• 2008-08-11 → 2018-11-09
  Robert W. Baird & Co. Incorporated
  Chicago, IL
• 2007-12-05 → 2008-07-08
  Morgan Stanley & Co. Llc
  Chicago, IL
• 2005-12-21 → 2007-10-09
  Charles Schwab & Co., Inc.
  Newport Beach, CA
• 2005-07-06 → 2005-10-25
  Chase Investment Services Corp.
  Chicago, IL
• 2003-08-14 → 2005-07-06
  Banc One Securities Corporation
  Winnetka, IL

Other Businesses

I*118745 For profit or not for profit: For-Profit Organization Name of outside business organization: Premierie Tastings Investment related: N Address of business: Schaumburg, Illinois 60194 Nature of business: Corporation, Position, title, association: Consultant, Start date of relationship: 6/1/2014 Number of hours devoted: 6 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Wine Sommelier/Demonstrator I*119693 For profit or not for profit: Non-Profit Organization Name of outside business organization: S Martorano & W Harrington College Scholarship Fnd Investment related: N Address of business: Chicago, Illinois 60611 Nature of business: Charitable Organization, Position, title, association: Officer, Start date of relationship: 8/1/2018 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: The purpose of the Sam Martorano & Wayne Harrington College Scholarship Fund is to transform and empower lives through education, by granting scholarships to individuals with financial need.

Exams

• S66 Uniform Combined State Law Examination
  2003-08-13

Other Names

• Kathy Harrington
• Kathleen Ann Harrington
• Kathy Concannon
• Kathleen Ann Harrington
• Kathleen Concannon
• Kathleen Ann Harrington
• Kathleen Ann Concannon
• Kathleen A Harrington
• Kathleen Ann Martorano
• Kathleen Martorano
• Kathleen Harrington
• K A Harrington
• K A Martorano