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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-07-28
TX RA APPROVED 2023-07-27
  • FL RA
    APPROVED
    Since 2023-07-28
  • TX RA
    APPROVED
    Since 2023-07-27

Branch Locations

401 E Las Olas Blvd, Fort Lauderdale, FL 33301 • United States

One Bryant Park, New York, NY 10036 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Lauderdale FL 10/2022 Present
Dk International Associates Inc. Fort Lauderdale FL 09/2008 Present
Previous Registrations
Other Businesses

1. DK International Associates: Family business. Nature of Business: Contract Engineering and Manufacturing (not investment related business) Address: 1417 SW 1st Avenue, Fort Lauderdale, FL 33315, Position: Owner, Director, Registered Agent (for Sunbiz) and Chief Administrative Officer. Start Date: 7/02/2002, Number of hours: I plan to consult on administrative matters no more than 30 hours/ month outside of securities trading hours. 2. Silecent Lighting Corporation: Nature of Business: Manufacturer of LED lighting (NOT investment related business). Address: 1417 SW 1st Avenue, Fort Lauderdale, FL 33315. Position: Ownership, Vice President. Start date: 10/03/2007. Number of hours: I plan to consult on administrative matters no more than 10 hours/month outside of securities trading hours. 3. Great Global Holdings Inc. Nature of business: Holding company for Grate Ideas of America LLC which is a manufacturer of pool grates. Address for both Great Global Holdings and Grate Ideas of America LLC : 1417 SW 1st Avenue, Fort Lauderdale, FL 33315. Position: Owner/Investor. Start Date: 0303/2009. I am not actively involved in this business, I do not plan to spend any time involved in any business matters. Investment related: N Address of business: Fort Lauderdale, Florida, 33315 Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 3/3/2009 Number of hours devoted: 0 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: , Grate Ideas is a manufacturer of pool grates.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-07-21
  • S66 Uniform Combined State Law Examination
    2023-07-21
Other Names
  • Kathy Helwig
  • Katherine Helwig
  • Katherine Helwig
  • Katherine Soderman

View on SEC IAPD

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