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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2019-12-23
  • KY RA
    APPROVED
    Since 2019-12-23

Branch Locations

300 Buttermilk Pike, Fort Mitchell, KY 41017 • 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 Lakeside Park KY 09/2019 Present
Payroll Partners Inc Ft Mitchell KY 12/2001 06/2019
Bank Of America, N.A. Lakeside Park KY 10/2019 Present
Other Businesses

I*127778 For profit or not for profit: For-Profit Organization Name of outside business organization: PPI Properties LLC Investment related: Y Address of business: Crescent Springs, Kentucky 41017 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 2/1/2005 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Property Holding company. The property was sold in January 2019. On the advise of my cpa the entity remains open while we wind down the expenses of the entity. I*135161 For profit or not for profit: Non-Profit Organization Name of outside business organization: Elliot Feltner No Limits for Spinal Cord Injuries Investment related: N Address of business: Park Hills, Kentucky 41011 Nature of business: Charitable Organization, Position, title, association: Advisory Board Member, Start date of relationship: 1/1/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 1 Duties: Fund Raising and providing services and awareness to individuals and their families that have experienced spinal cord injuries as a result of an accident.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-20
  • S66 Uniform Combined State Law Examination
    2019-12-20
Other Names
  • David Thomas Kathman
  • David Kathman

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