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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-06-23
TX RA APPROVED_RES 2023-10-13
PA RA APPROVED 2023-10-05
  • NY RA
    APPROVED
    Since 2025-06-23
  • TX RA
    APPROVED_RES
    Since 2023-10-13
  • PA RA
    APPROVED
    Since 2023-10-05

Branch Locations

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

1600 Jfk Blvd, Philadelphia, PA 19103 • 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
Axa Philadelphia PA 08/2017 04/2020
Axa Advisors Llc New York NY 04/2018 06/2020
American Heritage Philadelphia PA 07/2017 08/2017
Randolph-Brooks Federal Credit Union Live Oak TX 07/2016 05/2017
Unemployed Philadelphia PA 05/2017 07/2017
Equitable Advisors, Llc New York NY 04/2018 12/2020
Stifel Nicolaus & Co Inc Audubon NJ 05/2021 09/2023
Unemployed Philadelphia PA 12/2020 05/2021
Merrill Lynch, Pierce, Fenner & Smith Incorporated Philadelphia PA 09/2023 Present
  • 08/2017 → 04/2020
    Axa
    Philadelphia, PA
  • 04/2018 → 06/2020
    Axa Advisors Llc
    New York, NY
  • 07/2017 → 08/2017
    American Heritage
    Philadelphia, PA
  • 07/2016 → 05/2017
    Randolph-Brooks Federal Credit Union
    Live Oak, TX
  • 05/2017 → 07/2017
    Unemployed
    Philadelphia, PA
  • 04/2018 → 12/2020
    New York, NY
  • 05/2021 → 09/2023
    Stifel Nicolaus & Co Inc
    Audubon, NJ
  • 12/2020 → 05/2021
    Unemployed
    Philadelphia, PA
  • 09/2023 → Present
    Philadelphia, PA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-30
  • S66 Uniform Combined State Law Examination
    2020-05-30
Other Names
  • Katrina Maria Mcnairy

View on SEC IAPD

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