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Kay Kiefer Schatz

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sioux Falls, SD

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2010-12-17
SD RA APPROVED 2010-12-15
  • TX RA
    APPROVED_RES
    Since 2010-12-17
  • SD RA
    APPROVED
    Since 2010-12-15

Branch Locations

110 S Phillips Ave, Sioux Falls, SD 57104 • 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 Sioux Falls SD 12/2010 Present
Previous Registrations
  • 2010-10-04 → 2010-12-14
    Wells Fargo Investments, Llc
    Sioux Falls, SD
    Sioux Falls, SD
    Sioux Falls, SD
    Sioux Falls, SD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-28
S63 Uniform Securities Agent State Law Examination 1999-06-25
  • S65 Uniform Investment Adviser Law Examination
    1999-10-28
  • S63 Uniform Securities Agent State Law Examination
    1999-06-25

View on SEC IAPD

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Other Offices

MARINER · Sioux Falls, SD
MARINER · Sioux Falls, SD
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RBC CAPITAL MARKETS, LLC · SIOUX FALLS, SD
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