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Kevin Paul Smith

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Frontenac, MO

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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 2020-01-02
MO RA APPROVED 2019-12-24
  • TX RA
    APPROVED
    Since 2020-01-02
  • MO RA
    APPROVED
    Since 2019-12-24

Branch Locations

1630 S Lindbergh Blvd, Frontenac, MO 63131 • 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
Fidelity Brokerage Services Llc Covington KY 06/2015 04/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Clayton MO 11/2019 Present
Bank Of America, N.A. Clayton MO 11/2019 Present
Moneta Clayton MO 10/2018 04/2019
Unemployed St. Louis MO 05/2019 11/2019
Unemployed St. Louis MO 05/2018 10/2018
Self Employed/ Lawncare Cincinnati OH 01/2004 11/2019
  • 06/2015 → 04/2018
    Fidelity Brokerage Services Llc
    Covington, KY
  • 11/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Clayton, MO
  • 11/2019 → Present
    Bank Of America, N.A.
    Clayton, MO
  • 10/2018 → 04/2019
    Moneta
    Clayton, MO
  • 05/2019 → 11/2019
    Unemployed
    St. Louis, MO
  • 05/2018 → 10/2018
    Unemployed
    St. Louis, MO
  • 01/2004 → 11/2019
    Self Employed/ Lawncare
    Cincinnati, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-23
S63 Uniform Securities Agent State Law Examination 2015-08-17
  • S66 Uniform Combined State Law Examination
    2019-12-23
  • S63 Uniform Securities Agent State Law Examination
    2015-08-17
Other Names
  • Kevin Paul Smith
  • Kevin Smith

View on SEC IAPD

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Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · FRONTENAC, MO
STIFEL, NICOLAUS & COMPANY, INCORPORATED · FRONTENAC, MO
J.P. MORGAN SECURITIES LLC · Frontenac, MO
STRATEGIC ADVISERS LLC · ST. LOUIS, MO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · SAINT LOUIS, MO
WELLS FARGO CLEARING SERVICES, LLC · FRONTENAC, MO
WELLS FARGO CLEARING SERVICES, LLC · FRONTENAC, MO
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · FRONTENAC, MO

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