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Kelli M Walsh

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Seattle, WA

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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 2022-02-16
WA RA APPROVED 2021-12-21
  • TX RA
    APPROVED
    Since 2022-02-16
  • WA RA
    APPROVED
    Since 2021-12-21

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

401 Union St, Seattle, WA 98101 • 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 Seattle WA 04/2021 Present
Securities Compliance Management, Inc. Alpharetta GA 12/2012 04/2021
Bank Of America, N.A. Seattle WA 09/2024 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-12-17
  • S66 Uniform Combined State Law Examination
    2021-12-17
Other Names
  • Kelli Marette Mercer

View on SEC IAPD

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