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Kathryn E Ward

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Asheville, NC

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2018-11-07
SC RA APPROVED 2014-04-29
TX RA APPROVED_RES 2013-03-22
NC RA APPROVED 2010-05-28
  • VA RA
    APPROVED
    Since 2018-11-07
  • SC RA
    APPROVED
    Since 2014-04-29
  • TX RA
    APPROVED_RES
    Since 2013-03-22
  • NC RA
    APPROVED
    Since 2010-05-28

Branch Locations

1 N Pack Sq, Asheville, NC 28801 • United States

One Bryant Park, New York, NY 10036 • 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 Raleigh NC 10/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-05-27
  • S66 Uniform Combined State Law Examination
    2010-05-27
Other Names
  • Kathryn E Hardee

View on SEC IAPD

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Other Offices

OPPENHEIMER & CO. INC. · ASHEVILLE, NC
CETERA INVESTMENT ADVISERS LLC · ASHEVILLE, NC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ASHEVILLE, NC
BEACON POINTE ADVISORS, LLC · Asheville, NC
BEACON POINTE ADVISORS, LLC · Asheville, NC
EDWARD JONES · ASHEVILLE, NC
LPL FINANCIAL LLC · ASHEVILLE, NC
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Asheville, NC

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