Kenneth Correa

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:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-04-19
TX	RA	APPROVED_RES	2019-09-23
NJ	RA	APPROVED	2019-09-11

NY RA
APPROVED

Since 2021-04-19
TX RA
APPROVED_RES

Since 2019-09-23
NJ RA
APPROVED

Since 2019-09-11

Branch Locations

One Bryant Park Mlwm Executive Osj, New York, NY 10036 • United States

Bronxville, NY • 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
Ubs Financial Services Inc	Paramus	NJ	06/2015	09/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated	New York	NY	09/2019	Present

06/2015 → 09/2019

Ubs Financial Services Inc

Paramus, NJ
09/2019 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Previous Registrations

2006-03-15 → 2019-09-13

Ubs Financial Services Inc.

Baltimore, MD

Weehawken, NJ

Baltimore, MD

New York, NY

Paramus, NJ

Paramus, NJ

Paramus, NJ

New York, NY

Paramus, NJ

Paramus, NJ

Greenwich, CT

Other Businesses

1.For profit or not for profit: It is neither. I sit on the investment board of my condominium. 2.Name of outside business organization: Villa BXV 3.Investment related: No. Condo I live in. 52 units and there are two other people with me on it. 4.Address of business (City and State Only): Bronxville, NY 10708 5.Nature of business: We have a cash reserve fund with $250,000 for the condominium that was put into 2 CDs at a local bank. 6.Position, title, association: sit on the board with two others 7.Start date of relationship: May of 2019 8.Number of hours devoted: 0 9.Number of hours devoted during trading hours: 0 10.Duties: There is really nothing to do. We decided in June to place 250k into the CDS which have a term of 2 years. I*128124 For profit or not for profit: For-Profit Organization Name of outside business organization: Correa Investments LLC Investment related: Y Address of business: Elmhurst, New York 11373 Nature of business: LLC, Position, title, association: Owner, Start date of relationship: 4/1/2014 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I am the sole member of my LLC for estate planning reasons. The ONLY purpose of this LLC is to have proper titling for my accounts.