CK
Caralee Kennedy
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CRD#: 7073448
CK
Caralee Kennedy
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.
Caralee Kennedy, who also goes by Caralee Cotham, Caralee Kathleen Kennedy, Caralee Kennedy, was a registered financial professional .
Caralee is a previously registered financial professional and started their career in finance in 2019. Caralee had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Aliases
Caralee Cotham | Caralee Kathleen Kennedy | Caralee Kennedy
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.
I*: 2100310Entity Type: For ProfitName of OBA: Altera Mountain CompanyAddress: Stratton Mountain, VT 05155Investment Related: NoPosition, Title, Association: EmployeeEmployee Start Date: 12/01/2024Number of Hours: 10 hrs wklyNumber of Hours during trading: 0 Duties: Snowboard Instructor and Events Catering Staff I*1953272 Entity Type: N/A Name of OBA: NAACP Address: Wallingford, Vermont Investment Related: No Position, Title, Association: Board Member Employee Start Date: 08/15/2024 Number of Hours: 5, Monthly Number of Hours during trading: 0, Monthly Duties: Civic League or Social Welfare Organization I am the secretary so I send the manage the email blasts. Meeting reminders, current events etc. I also am responsible to record minutes in the meetings and to send them to members. I upload the treasurers statements to the national portal and input now memberships. I*3221266 Entity Type: Entity Charitable Name of OBA: Manchester Community Library Address: Manchester, Vermont Investment Related: No Position, Title, Association: Committee,Board Member Employee Start Date: 01/01/2025 Number of Hours: 5, Monthly Number of Hours during trading: 0, Monthly Duties: Board of Trustees Community Impact Committee my responsibilities are to get to know members of the community and come up with programming ideas that best serve those most in need. Facilities & Finance Committee my responsibilities are to discuss and plan for regular maintenance schedule and how it fits into our budget. All investments are handled by an outside firm. I am in the room while the president shares investment performance etc. but I have no say in how the assets are invested. The finance committee does review our credit policy, endowment draw policy for facility reserves etc.
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
October 19, 2020 - July 29, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MANCHESTER CENTER, VT
Past
October 15, 2020 - July 29, 2026
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MANCHESTER CENTER, VT
Past
December 10, 2019 - July 20, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SARATOGA SPRINGS, NY
Past
September 5, 2019 - July 20, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SARATOGA SPRINGS, NY
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
General Industry/Product Exam
RR
Series 7TO
Date: 9/5/2019
General Securities Representative ExaminationGeneral Industry/Product 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 |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
