Kathleen Dickerson

Current Employers

Employment History

• 05/2016 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Los Angeles, CA

Previous Registrations

• 2012-10-16 → 2016-06-02
  Rbc Capital Markets, Llc
  Beverly Hills, CA
  El Segundo, CA
• 2009-10-23 → 2012-10-16
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Encino, CA
  Santa Monica, CA
  Los Angeles, CA
  Los Angeles, CA
  Los Angeles, CA
  El Segundo, CA
  Los Angeles, CA
  Beverly Hills, CA
  Torrance, CA
  Rolling Hills Estates, CA
  Beverly Hills, CA
  Rolling Hills Estates, CA
  El Segundo, CA
• 2008-01-23 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Torrance, CA
• 2004-03-18 → 2008-01-15
  Wells Fargo Investments, Llc
  Los Angeles, CA
  Los Angeles, CA
• 2000-06-19 → 2004-03-17
  Wells Fargo Clearing Services, Llc
  Century City, CA

Other Businesses

I*828261For profit or not for profit: Name: Estate of H. M. D. Investment related: No Address LOS ANGELES, California, 90044Position: Administrator Start date: 6/1/2022Hours devoted: 4 hrs wkly Hours devoted during trading hours: 0 Duties: I*461985 Entity For Profit Name: HEARD U CRY PRODUCTIONS Investment related: No Address of business: TORRANCE, California, 90503Nature of business: Sole Proprietorship Position: Owner, Treasurer Start date: 3/17/2016Hours devoted: 10 hours Mthly Hours devoted during trading hours: 0Duties: The purpose of the entity is to help women victimized by others deal with the ensuing effects of their experience. I intend to produce and manage the production and finances of a stage play based on the memoirs of a personal acquaintance. I*461986 Entity For Profit Name: KAT DICKERSON MINISTRIES Investment related: No Address of business: TORRANCE, California 90503Nature of business: Sole Proprietorship Position: Owner, Treasurer date: 3/17/2016Hours devoted: 10 hrs Mhly Hours devoted during trading hours: 0Duties: To provide community support by way of inspirational stage projects, blogging, facilitate women's spiritual support groups, life skill training for single parents. I*: 2248257 For Profit Name: THE AGING CULTURE SHIFTAddress: LOS ANGELES, CA 90056Investment Related: No Position: owner Employee Start: 03/18/2025Number of Hours: 1o hrs wklyNumber of Hours during trading: 0Duties: Community outreach to support, aging well and reduction of ageism. Create focus groups, panel discussions, provide keynotes around aging, develop book, social media posts, develop documentary material on aging well based on interviews, focus groups and panel discussions. Book is not yet published (FOGO, The Fear of Getting Old- It's a Real Thing)? I*: 1750287 Charitable Name of OBA: The Camp Exposure Address: Dallas, TX 75237 Investment Related: No Position: Board Member Start: 03/12/2024 Hours: 6 hrs annually Hours during trading: 1 hr annually Duties: ENTITY PURPOSE: It is education based. As a Sports Ministry, our main focus is to utilize the incredible bonding potential of sports to cultivate deep connections with our athletes. By nurturing these relationships, we create an opportunity to impart our athletes with invaluable wisdom, empowering them to step fully into their God-given identity and purpose . Comprehensive education model that encompasses seven crucial pillars. Identity, Mental Health, Spiritual Health, Nutrition, Relationship Skills, Professional Development, Financial Literacy BOARD RESPONSIBILITIES: Ensure that 1. the nonprofit's activities and transactions are, first and foremost, advancing its mission; 2. nonprofit obeys applicable laws and regulations, follows its own bylaws, and that the nonprofit adheres to its stated purposes/mission 3. prudent use of all assets, including facility, people, and goodwill (no contact or use of funds). I*3523291, Entity Charitable, Name: Shine in Darkness, Address: Dallas, Texas, 75248, Investment Related: N, Position: Board Member, Employee Start: 12/30/2025, No Hours: 3 Monthly, No Hours during Trading: 0 Monthly, Duties: Board Governance Chair. Risk and compliance Committee chair. Provide leadership in safeguarding the organization. Oversees risk management policies, compliance & emergency readiness. A non-profit Christian organization that includes training in Christian education, personal, professional & athletic development (Camp Exposure), primary & middle school educational development (Outset Academy),

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-07-29
• S63 Uniform Securities Agent State Law Examination
  1993-05-18

Other Names

• Kathleen Vaughn
• Kathleen Dickerson
• Kathleen Woods
• Kathleen Woods
• Kathleen Dickerson
• Kathleen Bailey
• Kathleen Bailey