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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 2020-03-19
FL RA APPROVED 2017-01-05
  • TX RA
    APPROVED_RES
    Since 2020-03-19
  • FL RA
    APPROVED
    Since 2017-01-05

Branch Locations

9000 Southside Blvd Ci Relationship Management, Jacksonville, FL 32256 • United States

9000 Southside Blvd Ci Client Services, Jacksonville, FL 32256 • United States

Jacksonville, FL • 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 Jacksonville FL 04/2013 Present
Bank Of America, N.A. Jacksonville FL 11/2013 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-27
S63 Uniform Securities Agent State Law Examination 2013-07-03
  • S66 Uniform Combined State Law Examination
    2016-12-27
  • S63 Uniform Securities Agent State Law Examination
    2013-07-03
Other Names
  • Kristopher Lloyd Keating

View on SEC IAPD

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