FK
Frank H. Kirk
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CRD#: 270618
FK
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.
Frank Hanna Kirk was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1973. Frank had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5, PC, Series 1, Series 9, Series 10, Series 53, Series 24, Series 12 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1)YMCA OF KANSAS CITY, VICE CHAIRMAN, BOARD OF DIRECTORS.
(2)PFM COMPANY, INVESTMENT RELATED, KANSAS CITY MO, REAL ESTATE LEASING COMPANY, LEASES TO FAMILY BUSINESS KIRK WELDING.
I*39100
FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: KIRK FOUNDATION
INVESTMENT RELATED: Y
ADDRESS OF BUSINESS:
PRAIRIE VILLAGE, KANSAS 66208
NATURE OF BUSINESS: CHARITABLE ORGANIZATION,
POSITION, TITLE, ASSOCIATION: TRUSTEE,
START DATE OF RELATIONSHIP: 1/1/2011
NUMBER OF HOURS DEVOTED: 40 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 20
DUTIES: IT IS A PRIVATE FAMILY FOUNDATION. LISTED AS TRUSTEE WITH 2 OTHER FAMILY MEMBERS. DISCUSSES, RECOMMENDS AND APROVES CHARITABLE GIFTS TO CHARITABLE ORGANIZATIONS
I*75778
FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION
NAME OF OUTSIDE BUSINESS ORGANIZATION: FIRST TEE OF GREATOR KANSAS CITY
INVESTMENT RELATED: N
ADDRESS OF BUSINESS:
KANSAS CITY, MISSOURI 64132
NATURE OF BUSINESS: CHARITABLE ORGANIZATION,
POSITION, TITLE, ASSOCIATION:
START DATE OF RELATIONSHIP: 10/01/2003
NUMBER OF HOURS DEVOTED: 100 HOUR(S) ANNUALLY
NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 20
DUTIES: HONORARY CHAIRMAN OF ADVISOR BOARD
I*120470
For profit or not for profit: Non-Profit Organization
Name of outside business organization: Folds of Honor Kansas City
Investment related: N
Address of business:
Mission, Kansas 66205
Nature of business: Charitable Organization,
Position, title, association: Advisory Board Member,
Start date of relationship: 9/3/2018
Number of hours devoted: 10 hour(s) Quarterly
Number of hours devoted during trading hours: 0
Duties: Charitable organization that provides education funding for fallen military members families. Serve on board to raise money and awareness.
I*120721
For profit or not for profit: Non-Profit Organization
Name of outside business organization: Johnson County Community College Foundation
Investment related: Y
Address of business:
Overland Park, Kansas 66210
Nature of business: Charitable Organization,
Position, title, association: Committee Member,
Start date of relationship: 5/1/2011
Number of hours devoted: 20 hour(s) Annually
Number of hours devoted during trading hours: 0
Duties: Serve on committee for Johnson County Community College Foundation. Attend board meetings and vote on matters pertaining to the college foundation.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
May 22, 2009 - January 11, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
KANSAS CITY, MO
Past
May 22, 2009 - January 11, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
KANSAS CITY, MO
Past
December 18, 2003 - May 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
KANSAS CITY, MO
Past
January 13, 1998 - May 26, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
KANSAS CITY, MO
Past
May 31, 1994 - January 2, 1998
GEORGE K. BAUM & COMPANY
BD
CRD#: 36354
KANSAS CITY, MO
Past
June 3, 1991 - May 31, 1994
GKB, INC.
BD
CRD#: 350
KANSAS CITY, MO
Past
September 30, 1988 - June 6, 1991
RODMAN & RENSHAW INC.
BD
CRD#: 724
CHICAGO, IL
Past
October 11, 1982 - October 10, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
BD
CRD#: 7323
Past
January 31, 1980 - October 19, 1982
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
February 14, 1973 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
BD
CRD#: 6361
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 5/22/1984
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/26/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
PC
Date: 7/25/1977
AMEX Put and Call ExamGeneral Industry/Product Exam
RR
Series 1
Date: 2/8/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 12
Date: 5/11/1981
NYSE Branch Manager ExaminationPrincipal/Supervisory Exam
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
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.
