Kate P Holloway

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

• 12/2008 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Oakland, CA
• 01/2017 → Present
  Bank Of America, N.A.
  Oakland, CA

Previous Registrations

• 2007-12-19 → 2008-07-02
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA

Other Businesses

I*68898 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: SELF INVESTMENT RELATED: N ADDRESS OF BUSINESS: MARTINEZ, CALIFORNIA 94553 NATURE OF BUSINESS: OTHER,PERSONAL PROPERTY BEING RENTED POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 1/2/2014 NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: HOMEOWNER OF AN INCOME PROPERTY I*90681 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: CLEMENTINA TRIPLEX INVESTMENT RELATED: N ADDRESS OF BUSINESS: SAN FRANCISCO, CALIFORNIA 94103 NATURE OF BUSINESS: OTHER, TIC POSITION, TITLE, ASSOCIATION: OTHER, PROPERTY MANAGER START DATE OF RELATIONSHIP: 2/12/2016 NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PURCHASED TRIPLEX IN SF. ONE UNIT WILL BE PRIMARY RESIDENCE, 2ND UNIT WILL BE CO-OWNER'S PRIMARY RESIDENCE, 3RD UNIT WILL BE RENTED. RESPONSIBILITIES INCLUDE CO-MANAGING THE RENTAL UNIT. I OWN 66.67% WITH MY HUSBAND (JTWROS), ELIZABETH CARBONE 33.33%

Exams

• S66 Uniform Combined State Law Examination
  2007-12-18

Other Names

• Kate P Wiegand