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Katherine C Mallery

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Virginia Beach, VA

Upper Saint Clair, PA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
WV RA APPROVED 2024-09-26
PA RA APPROVED 2024-09-20
TX RA APPROVED 2016-02-26
VA RA APPROVED 2016-02-26
  • WV RA
    APPROVED
    Since 2024-09-26
  • PA RA
    APPROVED
    Since 2024-09-20
  • TX RA
    APPROVED
    Since 2016-02-26
  • VA RA
    APPROVED
    Since 2016-02-26

Branch Locations

208 Golden Oak Ct, Virginia Beach, VA 23452 • United States

180 Fort Couch Rd, Upper Saint Clair, PA 15241 • 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 Va Bech VA 12/2011 Present
  • 12/2011 → Present
    Merrill Lynch
    Va Bech, VA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-02-25
S63 Uniform Securities Agent State Law Examination 1984-10-09
  • S65 Uniform Investment Adviser Law Examination
    2016-02-25
  • S63 Uniform Securities Agent State Law Examination
    1984-10-09
Other Names
  • Katherine Lynn Rickey
  • Katherine Lynn Crabtree
  • Kathy Mallery
  • Katherine Lynn Crabtree
  • Katherine Crabtree Mallery

View on SEC IAPD

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