Kathryn L Wallace

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

Authority	Category	Status	Date
MO	RA	APPROVED	2026-07-23
TX	RA	APPROVED_RES	2024-04-30
KS	RA	APPROVED	2022-10-25

MO RA
APPROVED

Since 2026-07-23
TX RA
APPROVED_RES

Since 2024-04-30
KS RA
APPROVED

Since 2022-10-25

Branch Locations

Leawood, KS • United States

1200 Main St, Kansas City, MO 64105 • United States

1 Cowboys Way, Frisco, TX 75034 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Waddell & Reed, Inc.	Overland Park	KS	03/2004	08/2020
Ivy Distributors, Inc	Shawnee Mission	KS	03/2004	04/2021
Saint Lukes South	Overland Park	KS	09/2013	Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Kansas City	MO	08/2022	Present
Bank Of America, N.A.	Kansas City	MO	07/2026	Present

03/2004 → 08/2020

Waddell & Reed, Inc.

Overland Park, KS
03/2004 → 04/2021

Ivy Distributors, Inc

Shawnee Mission, KS
09/2013 → Present

Saint Lukes South

Overland Park, KS
08/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Kansas City, MO
07/2026 → Present

Bank Of America, N.A.

Kansas City, MO

Previous Registrations

2004-05-13 → 2021-04-30

Waddell & Reed

Overland Park, KS

Overland Park, KS

Overland Park, KS
2002-04-04 → 2003-09-02

Banc Of America Investment Services, Inc.

Overland Park , KS

Other Businesses

I*4882277, Entity Type: Not for profit , Name of OBA: St Lukes Foundation, Address: kansas city, Missouri, 64131, Investment Related: N, Position, Title, Association: volunteer / committee member for fundraising event , Employee Start Date: 07/10/2026, No Hours: 4 Yearly, No Hours during Trading: 0 Yearly, Duties: create awareness for the major event Heartland gala in 4q each year, Creating awareness and help promote fundraising events for the foundation. I*4883269, Entity Type: not for profit, Name of OBA: Medical Missions Foundation, Address: Lenexa, Kansas, 66214, Investment Related: N, Position, Title, Association: volunteer / committee member for fundraising event , Employee Start Date: 08/01/2026, No Hours: 1 Monthly, No Hours during Trading: 0 Monthly, Duties: attend monthly meetings outside of work hours Promoting the nonprofit for fundraising to support doctors doing work for underprivileged children.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-03-01
S63	Uniform Securities Agent State Law Examination	1992-04-21

S65 Uniform Investment Adviser Law Examination

2002-03-01
S63 Uniform Securities Agent State Law Examination

1992-04-21

Other Names

Kathryn Lynn Ingebretson
Kathryn Lynn Ingelbretson
Kathy Richman
Kathryn Lynn Richman
Kathy Richman Wallace
Kathryn Lynn Wallace

View on SEC IAPD