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Kimberly Irving Thompson

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA

Chicago, IL

CRD 6077127

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2024-12-18
IL RA APPROVED 2024-11-27
  • TX RA
    APPROVED
    Since 2024-12-18
  • IL RA
    APPROVED
    Since 2024-11-27

Branch Locations

2049 Century Park E Pbig - Century City, Los Angeles, CA 90067 • United States

110 N Wacker Dr Pbig - Chicago, Chicago, IL 60606 • 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
Morgan Stanley Chicago IL 12/2015 12/2021
Morgan Stanley Private Bank, N.A New York NY 12/2021 11/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 11/2024 Present
Previous Registrations
  • 2015-12-16 → 2024-11-21
    Morgan Stanley
    New York, NY
    Chicago, IL
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-14
S63 Uniform Securities Agent State Law Examination 2012-07-17
  • S66 Uniform Combined State Law Examination
    2015-12-14
  • S63 Uniform Securities Agent State Law Examination
    2012-07-17
Other Names
  • Kimberly Aesha Krista Kay Irving
  • Kimberly Irving
  • Kimberly Aesha Krista-Kay Irving

View on SEC IAPD

Nearby Firms

POST ADVISORY GROUP, LLC
WESTMOUNT PARTNERS, LLC
GIDEON CAPITAL, LLC

Nearby Investors

TERRENCE MICHAEL DEMOREST
DIMITRI JIMMY KRIKELAS
CHRISTOPHER MILES WERNER

Nearby Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA

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