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William Randall Kline

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Raleigh, NC

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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 2020-05-29
NC RA APPROVED 2020-04-03
  • TX RA
    APPROVED_RES
    Since 2020-05-29
  • NC RA
    APPROVED
    Since 2020-04-03

Branch Locations

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • United States

4242 Six Forks Rd, Raleigh, NC 27609 • 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
Gallagher Benefit Services Itasca IL 07/2011 04/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Raleigh NC 03/2020 Present
Unemployed Raleigh NC 05/2018 02/2020
Previous Registrations
  • 2016-04-26 → 2018-04-27
    Kestra Advisory Services, Llc
    Itasca, IL
  • 2013-01-15 → 2016-09-22
    Kestra Investment Services, Llc
    Rolling Meadows, IL
    Cincinnati, OH
    Kansas City, MO
    Radnor, PA
    Kansas City, MO
    Charlotte, NC
  • 2008-07-02 → 2011-07-22
    New York Life Investment Management Llc
    New York, NY
  • 2007-10-01 → 2008-05-23
    Capfinancial Securities, Llc.
    Raleigh, NC
    Raleigh, NC
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-06-12
S65 Uniform Investment Adviser Law Examination 2007-09-28
  • S63 Uniform Securities Agent State Law Examination
    2008-06-12
  • S65 Uniform Investment Adviser Law Examination
    2007-09-28

View on SEC IAPD

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