Kevin Ray Hermis

45 Rockefeller Plaza Floor 5, New York, NY 10111 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-11-04

Branch Locations

300 Crescent Court Suite 1450, Dallas, TX 75201 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Houston	TX	10/2009	10/2017
Mrz Financial Services, Llc	Houston	TX	10/2017	08/2018
United Capital Financial Advisers, Llc	Newport Beach	CA	08/2018	10/2019
Baker Tilly Financial, Llc	Houston	TX	10/2019	03/2020
Baker Tilly Capital, Llc	Madison	WI	10/2019	03/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated	The Woodlands	TX	03/2020	11/2022
Rockefeller Financial Llc	Houston	TX	11/2022	Present

10/2009 → 10/2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX
10/2017 → 08/2018

Mrz Financial Services, Llc

Houston, TX
08/2018 → 10/2019

United Capital Financial Advisers, Llc

Newport Beach, CA
10/2019 → 03/2020

Baker Tilly Financial, Llc

Houston, TX
10/2019 → 03/2020

Baker Tilly Capital, Llc

Madison, WI
03/2020 → 11/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

The Woodlands, TX
11/2022 → Present

Rockefeller Financial Llc

Houston, TX

2020-03-20 → 2022-11-08

Merrill Lynch, Pierce, Fenner & Smith Incorporated

The Woodlands, TX
2019-10-21 → 2020-03-20

Baker Tilly Wealth Management, Llc

Houston, TX

Madison, WI
2018-08-31 → 2019-10-24

United Capital Financial Advisors

Houston, TX

Spring, TX
2017-10-25 → 2018-12-31

Mrz Financial Services Llc

Houston, TX
2009-10-23 → 2017-10-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX
2008-05-06 → 2009-10-23

Banc Of America Investment Services, Inc.

Houston, TX
2006-03-06 → 2008-05-06

Arvest Wealth Management

Lowell, AR

Lowell, AR

Rogers, AR

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-03-03

Other Firms