Kathleen M. Ellis
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.
Kathleen M Ellis, who also goes by Kathleen Marie Ellis, Kathleen Marie O'brien, Kathleen Marie Obrien, Radcliffe Obrien, Kathleen Marie Radcliffe, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1983. Kathleen had worked at 11 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2013 - June 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2012 - June 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2012 - March 8, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 2009 - January 21, 2010
EVOLVE SECURITIES, INC.
April 6, 2005 - November 16, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
April 28, 2003 - June 20, 2003
CONTINENTAL BROKER-DEALER CORP.
August 2, 2000 - June 29, 2001
FREEDOM INVESTMENTS, INC.
February 1, 2000 - July 18, 2000
WEDBUSH SECURITIES INC.
January 4, 1999 - October 14, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 3, 1987 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
November 2, 1983 - March 25, 1985
E. F. HUTTON & COMPANY INC
June 28, 1983 - October 11, 1983
SECURITIES RESOLUTION CORPORATION
March 22, 1983 - May 27, 1983
PIPER SANDLER & CO.
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.
