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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 2025-01-02
NY RA APPROVED 2024-11-16
  • TX RA
    APPROVED
    Since 2025-01-02
  • NY RA
    APPROVED
    Since 2024-11-16

Branch Locations

2 Crosfield Ave, West Nyack, NY 10994 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated West Nyack NY 10/2022 Present
Rockland County Clerk New City NY 08/2021 10/2022
Green Team Realty Warwick NY 06/2019 01/2022
Chili's Grill & Bar Nanuet NY 09/2003 08/2021
Other Businesses

I*1228299, Entity Type, Name of OBA: Photography Address: New City, New York 10956 Investment Related: N Position, Title, Association: Other Employee Start Date: 03/31/2023No Hours: No Hours during trading:0 Duties: Photography Services for friends and family

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-15
  • S66 Uniform Combined State Law Examination
    2024-11-15
Other Names
  • Katherine Oates
  • Katie Oates
  • Katie Velazquez

View on SEC IAPD

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