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Kimberly Kay Flores

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

New York, NY

Irvine, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-10-23
  • CA RA
    APPROVED
    Since 2009-10-23

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • United States

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

Irvine, CA • 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
Bank Of America, N.A. Newport Beach CA 03/2003 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 10/2009 Present
Previous Registrations
  • 2005-02-18 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Newport Beach, CA
    Newport Beach, CA
    Newport Beach, CA
    Boston, MA
    Costa Mesa, CA
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-17
S63 Uniform Securities Agent State Law Examination 1998-04-10
  • S66 Uniform Combined State Law Examination
    2005-02-17
  • S63 Uniform Securities Agent State Law Examination
    1998-04-10

View on SEC IAPD

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