Kristin Sullivan Chaset

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-06-17
CA	RA	APPROVED	2024-06-03

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Menlo Park	CA	10/2004	09/2020
First Republic Securities Company, Llc	San Francisco	CA	09/2020	04/2023
First Republic Investment Management, Inc.	San Francisco	CA	09/2020	04/2023
Rbc Capital Markets, Llc	San Francisco	CA	04/2023	06/2024
Ubs Financial Services Inc.	San Francisco	CA	06/2024	Present

10/2004 → 09/2020

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Menlo Park, CA
09/2020 → 04/2023

First Republic Securities Company, Llc

San Francisco, CA
09/2020 → 04/2023

First Republic Investment Management, Inc.

San Francisco, CA
04/2023 → 06/2024

Rbc Capital Markets, Llc

San Francisco, CA
06/2024 → Present

Ubs Financial Services Inc.

San Francisco, CA

2023-04-26 → 2024-06-21

Rbc Capital Markets, Llc

San Francisco, CA
2020-09-11 → 2023-05-18

J.P. Morgan Private Wealth Advisors Llc

San Francisco, CA
2010-10-12 → 2020-09-15

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

Santa Rosa, CA

Washington, DC

Palo Alto, CA

San Francisco, CA

San Francisco, CA

San Francisco, CA
2005-10-31 → 2009-09-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Francisco, CA

San Francisco, CA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-10-27

Other Firms