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Katherine Del Castillo

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Scottsdale, AZ

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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 2009-01-28
CA RA APPROVED 2008-02-06
  • TX RA
    APPROVED
    Since 2009-01-28
  • CA RA
    APPROVED
    Since 2008-02-06

Branch Locations

14636 N Scottsdale Rd, Scottsdale, AZ 85254 • 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 Scottsdale AZ 10/2007 Present
  • 10/2007 → Present
    Merrill Lynch
    Scottsdale, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-02
S63 Uniform Securities Agent State Law Examination 1998-10-26
  • S66 Uniform Combined State Law Examination
    2008-02-02
  • S63 Uniform Securities Agent State Law Examination
    1998-10-26
Other Names
  • Ana Assad
  • Katherine Ann Assad
  • Katherineann Mcclain Assad
  • Katherine Ann Assad Del Castillo
  • Katherine Ann Delcastillo
  • Katherine Ann Del Castillo
  • Katherine Ann Assad
  • Katherine A Del Castillo
  • Ana Del Castillo

View on SEC IAPD

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