Kerry Ann Doran
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.
Kerry Ann Doran, who also goes by Kerry Ann Clough, Kerry Ann Collins, Kerry Ann Doran, Kerryann Doran, was a registered financial professional .
Kerry Ann is a previously registered financial professional and started their career in finance in 1994. Kerry Ann had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 2, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2015 - January 4, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2015 - January 4, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 2014 - December 19, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 10, 2014 - December 19, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 8, 2006 - January 6, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 17, 2004 - January 6, 2014
TD AMERITRADE, INC.
December 16, 2004 - January 6, 2014
TD AMERITRADE, INC.
January 3, 2002 - November 29, 2004
CHARLES SCHWAB & CO., INC.
June 5, 1997 - November 29, 2004
CHARLES SCHWAB & CO., INC.
February 23, 1996 - February 26, 1996
BA INVESTMENT SERVICES, INC.
January 25, 1995 - July 31, 1995
SUTRO & CO. INCORPORATED
January 27, 1994 - February 14, 1995
UBS FINANCIAL SERVICES 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
Series 2
Date: 4/26/1996
Non-Member General Securities ExaminationCurrent 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.
