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Katherine Vega

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Pennington, NJ

Fort Mill, SC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2023-03-31
NC RA APPROVED 2020-01-06
TX RA APPROVED 2020-01-06
  • SC RA
    APPROVED
    Since 2023-03-31
  • NC RA
    APPROVED
    Since 2020-01-06
  • TX RA
    APPROVED
    Since 2020-01-06

Branch Locations

150 N College St Ci Business Controls, Charlotte, NC 28202 • United States

1100-1800 American Blvd Ci Client Management, Pennington, NJ 08534 • United States

Fort Mill, SC • 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
Wells Fargo Clearing Services, Llc Charlotte NC 08/2017 12/2019
Wells Fargo Charlotte NC 07/2016 08/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte NC 12/2019 Present
Bank Of America, N.A. Charlotte NC 12/2019 Present
  • 08/2017 → 12/2019
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
  • 07/2016 → 08/2017
    Wells Fargo
    Charlotte, NC
  • 12/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Charlotte, NC
  • 12/2019 → Present
    Bank Of America, N.A.
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-03
S63 Uniform Securities Agent State Law Examination 2017-10-26
  • S66 Uniform Combined State Law Examination
    2020-01-03
  • S63 Uniform Securities Agent State Law Examination
    2017-10-26

View on SEC IAPD

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