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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 2009-11-02
DE RA APPROVED 2004-09-24
  • TX RA
    APPROVED_RES
    Since 2009-11-02
  • DE RA
    APPROVED
    Since 2004-09-24

Branch Locations

55 Kings Hwy, Dover, DE 19901 • 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 Dover DE 07/2004 Present
Bank Of America, N.A. Dover DE 07/2011 Present
Other Businesses

(1) FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: DELAWARE COMMUNITY FOUNDATIONINVESTMENT RELATED: YADDRESS OF BUSINESS:100 W. 10TH ST SUITE 115WILMINGTON, DELAWARE UNITED STATES 19899NATURE OF BUSINESS: CHARITABLE ORGANIZATIONPOSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 10/1/2013NUMBER OF HOURS DEVOTED: 2 MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 2DUTIES: I WOULD SIT ON THE INVESTMENT COMMITTEE OF THE DELAWARE COMMUNITY FOUNDATION. THE INVESTMENT COMMITTEE IS A COMMITTEE OF THE BOARD WHOSE JOB IS TO EVALUATE THE INVESTMENT MANAGERS OF THE DELAWARE COMMUNITY FOUNDATION AND MAKE RECOMMENDATIONS. (2) NON PROFITHOLLY'S CLUBP O BOX 445 SMYRNA, DE 199772 HOURS MONTHLYSTART DATE: 01/01/2013DUTIES: THE HOLLY'S CLUB IS A GROUP OF WOMEN WHO RAISE MONEY LOCALLY IN THE SMYRNA-CLAYTON, DE AREA TO HELP MEMBERS OF THE COMMUNITY WHO HAVE A FINANCIAL EMERGENCY SUCH AS A FIRE, ETC. I AM MEMBER OF THE CLUB. I*93008FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: CHRIST EPISCOPAL CHURCHINVESTMENT RELATED: NADDRESS OF BUSINESS: 501 SOUTH STATE ST, DOVER, DELAWARE 19977NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: COMMITTEE MEMBER, START DATE OF RELATIONSHIP: 1/4/2016NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: CHRIST EPISCOPAL CHURCH IS THE LOCAL EPISCOPAL CHURCH IN DOVER, DE. I AM HELPING THE FINANCE COMMITTEE CREATE AND WRITE AN ENDOWMENT FUND POLICY TO GOVERN EXISTING AND NEW ASSETS. I*1407288For profit or not for profit: Entity CharitableName of outside business organization: CenDel FoundationInvestment related: NAddress of business: Dover, Delaware, 19904, United StatesNature of business: ["Charitable Organization"]Position, title, association: ["Board Member"], Start date of relationship: 9/1/2023Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 1Duties: , The CenDel Foundation is a community foundation for Kent County Delaware. They provide grants to non-profits in Kent County for the arts, health and human service projects and scholarships for students among many areas. My responsibility as a board member is to ensure the foundation is following appropriate procedures and guidelines for receiving and granting money. I*478951, Entity Type,Charitable Name of OBA:University of Delaware Address:Newark,Delaware,19716 Investment Related:no Position, Title, Association: Committee,Employee Start Date:10/05/2023 No Hours: 1.67 monthlyNo Hours during trading: 0Duties:Educational ServicesServe as a member of the Board of Trustees I*2739326, Entity Type: , Name of OBA: Trust u/w of L S. M FBO M D dtd 11/23/2023, Address: Smyrna, Delaware, 19977, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 09/01/2025, No Hours: 15 Yearly, No Hours during Trading: 15 Yearly, Duties: I*2739328, Entity Type: , Name of OBA: Trust u/w L S M FBO K D dtd 11/23/2023, Address: Smyrna, Delaware, 19977, Investment Related: N, Position, Title, Association: Trustee, Employee State Date: 09/01/2025, No Hours: 12 Yearly, No Hours during Trading: 12 Yearly, Duties:

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-23
S63 Uniform Securities Agent State Law Examination 1998-10-22
  • S66 Uniform Combined State Law Examination
    2004-09-23
  • S63 Uniform Securities Agent State Law Examination
    1998-10-22
Other Names
  • Kathleen V Hawkins
  • Kathleen Diane Vollmar
  • Kathleen Vollmar Hawkins

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