Kathleen Clifford Maloney

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
TX	RA	APPROVED_RES	2016-07-05
NJ	RA	APPROVED	2006-02-16

TX RA
APPROVED_RES

Since 2016-07-05
NJ RA
APPROVED

Since 2006-02-16

Branch Locations

Spring Lake Hts, NJ • United States

1 Deforest Ave, Summit, NJ 07901 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Short Hills	NJ	02/1999	Present
Bank Of America, Na	Short Hills	NJ	12/2009	Present

02/1999 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Short Hills, NJ
12/2009 → Present

Bank Of America, Na

Short Hills, NJ

Other Businesses

I*2524 For profit or not for profit: Name of outside business organization: Rental Investment related: Address of business: Asbury Park, New Jersey 07712 Nature of business: , Position, title, association: , Start date of relationship: 12/01/2009 Number of hours devoted: 24 hour(s) Number of hours devoted during trading hours: 0 Duties:

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-02-03
S63	Uniform Securities Agent State Law Examination	1993-05-25

S66 Uniform Combined State Law Examination

2006-02-03
S63 Uniform Securities Agent State Law Examination

1993-05-25

Other Names

K C Maloney
Kathleen C Maloney

View on SEC IAPD