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Kariann Walker

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mystic, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2014-05-06
TX RA APPROVED_RES 2013-03-01
  • CT RA
    APPROVED
    Since 2014-05-06
  • TX RA
    APPROVED_RES
    Since 2013-03-01

Branch Locations

27 Coogan Blvd, Mystic, CT 06355 • 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 New London CT 08/2009 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-05-05
S63 Uniform Securities Agent State Law Examination 2013-01-31
  • S66 Uniform Combined State Law Examination
    2014-05-05
  • S63 Uniform Securities Agent State Law Examination
    2013-01-31
Other Names
  • Kariann Mariani

View on SEC IAPD

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Other Offices

NEBRODI PARTNERS, LLC · HARTFORD, CT
MORGAN STANLEY · Hartford, CT
ERNST & YOUNG INVESTMENT ADVISERS LLP · HARTFORD, CT
ROCKEFELLER FINANCIAL LLC · Hartford, CT
BRADLEY FOSTER & SARGENT INC · HARTFORD, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HARTFORD, CT
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · HARTFORD, CT
BRADLEY FOSTER & SARGENT INC · Hartford, CT

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