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Kathleen Marie Vaughan

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bloomington, MN

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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 2016-05-03
MN RA APPROVED 2016-04-29
  • TX RA
    APPROVED_RES
    Since 2016-05-03
  • MN RA
    APPROVED
    Since 2016-04-29

Branch Locations

8300 Norman Center Dr, Bloomington, MN 55437 • 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 Bloomington MN 04/2016 Present
Previous Registrations
  • 2014-02-05 → 2016-05-13
    Morgan Stanley
    Minneapolis, MN
    Bloomington, MN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1995-10-04
  • S63 Uniform Securities Agent State Law Examination
    1995-10-04
Other Names
  • Kathy Vaughan
  • Kathleen Marie Vaughan
  • Kathleen Marie Vaughan
  • Langenfeld Kathleen Marie
  • Kathleen Marie Langenfeld

View on SEC IAPD

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PETROS FAMILY WEALTH, LLC · BLOOMINGTON, MN
JNBA FINANCIAL ADVISORS, LLC · BLOOMINGTON, MN
DEVENIR INVESTMENT ADVISORS, LLC · BLOOMINGTON, MN
REDHAWK WEALTH ADVISORS, INC. · MINNEAPOLIS, MN
WELLS FARGO CLEARING SERVICES, LLC · BLOOMINGTON, MN
UBS FINANCIAL SERVICES INC. · BLOOMINGTON, MN
ELEVATION POINT WEALTH PARTNERS, LLC · Minneapolis, MN
OSAIC WEALTH, INC. · BLOOMINGTON, MN

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