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Katie E Andrews

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Cincinnati, OH

New York, NY

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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 2021-11-05
OH RA APPROVED 2021-09-15
  • TX RA
    APPROVED
    Since 2021-11-05
  • OH RA
    APPROVED
    Since 2021-09-15

Branch Locations

312 Walnut St Pbig - Cincinnati, Cincinnati, OH 45202 • United States

One Bryant Park, New York, NY 10036 • 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
Fidelity Brokerage Services Llc Covington KY 11/2017 03/2019
Bank Of America Brea CA 01/2009 11/2017
L.M. Kohn & Company Cincinnati OH 03/2019 12/2019
L.M. Kohn & Company Cincinnati OH 02/2020 04/2021
Northstar Financial Services, Llc Hebron KY 12/2019 02/2020
Merrill Lynch, Pierce, Fenner & Smith Incorporated Cincinnati OH 05/2021 Present
  • 11/2017 → 03/2019
    Fidelity Brokerage Services Llc
    Covington, KY
  • 01/2009 → 11/2017
    Bank Of America
    Brea, CA
  • 03/2019 → 12/2019
    L.M. Kohn & Company
    Cincinnati, OH
  • 02/2020 → 04/2021
    L.M. Kohn & Company
    Cincinnati, OH
  • 12/2019 → 02/2020
    Northstar Financial Services, Llc
    Hebron, KY
  • 05/2021 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Cincinnati, OH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-13
S63 Uniform Securities Agent State Law Examination 2018-02-07
  • S66 Uniform Combined State Law Examination
    2021-09-13
  • S63 Uniform Securities Agent State Law Examination
    2018-02-07
Other Names
  • Katie Andrews
  • Katie Elaine Andrews

View on SEC IAPD

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STIFEL, NICOLAUS & COMPANY, INCORPORATED

Other Investors

JEFFREY JOSEPH SPITZMILLER
ANDERS KRISTIAN JUEL
CHARLES FREDERICK HAIS
CHRISTOPHER CHARLES HAIS
CHARLES MICHAEL HAIS
JEFFREY ROBERT WALKUP
MICHAEL WILLIAM POPIL
BETH OKABAYASHI HODGES

Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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