Patricia C. Kasberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patricia Carroll Kasberg, who also goes by Patricia E Carroll, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1996. Patricia had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2016 - January 22, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2016 - January 22, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 2013 - December 31, 2015
SECURIAN FINANCIAL SERVICES, INC.
July 17, 2012 - January 5, 2016
SECURIAN FINANCIAL SERVICES, INC.
May 15, 2012 - June 15, 2012
NEW ENGLAND SECURITIES
April 19, 2011 - June 15, 2012
NEW ENGLAND SECURITIES
June 10, 2010 - April 27, 2011
NYLIFE SECURITIES LLC
March 26, 2008 - June 1, 2010
MML INVESTORS SERVICES, LLC
March 13, 2008 - June 1, 2010
MML INVESTORS SERVICES, LLC
July 19, 2007 - March 14, 2008
PRINCIPAL SECURITIES, INC.
March 30, 1999 - March 14, 2008
PRINCIPAL SECURITIES, INC.
June 5, 1997 - March 29, 1999
EQUITY SERVICES, INC.
June 5, 1996 - May 30, 1997
MML INVESTORS SERVICES, LLC
April 25, 1996 - May 11, 1996
BERKSHIRE EQUITY SALES, INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
