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Katherine A Ellis

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Fort Smith, AR

Oklahoma City, OK

Edmond, OK

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2019-10-14
OK RA APPROVED 2009-12-15
TX RA APPROVED_RES 2008-10-24
  • AR RA
    APPROVED
    Since 2019-10-14
  • OK RA
    APPROVED
    Since 2009-12-15
  • TX RA
    APPROVED_RES
    Since 2008-10-24

Branch Locations

13355 Noel Rd Division - Texas South, Dallas, TX 75240 • United States

3220 Old Greenwood Rd, Fort Smith, AR 72903 • United States

4811 Gaillardia Pkwy, Oklahoma City, OK 73142 • United States

Edmond, OK • 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 Oklahoma City OK 08/2005 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-06-15
  • S66 Uniform Combined State Law Examination
    2006-06-15
Other Names
  • Katherine Ann Poulain

View on SEC IAPD

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