Kathryn Ward

CRD 1221970 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Houston, TX

IA RegisteredBroker

Also appears in the source record as: Kathryn Mary Defranceco; Kathryn Mary Angela Defrancesco Ward; Kathryn D Ward; Kathryn Defrancesco Ward

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (39): Alaska · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Mississippi · Missouri · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · IA capacity

Apr 10, 2012 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Houston, TX · BC capacity

start not retrieved → present
Citigroup Global Markets Inc.
BD capacity

Aug 30, 2001 → Mar 10, 2009
Ferris, Baker Watts Incorporated
BD capacity

May 14, 1998 → Dec 22, 2000
Prudential Securities Incorporated
BD capacity

Sep 12, 1995 → Oct 21, 1996
Prudential Securities Incorporated
BD capacity

Sep 27, 1990 → Apr 28, 1995
Painewebber Incorporated
BD capacity

Jul 19, 1988 → Aug 11, 1989
Rotan Mosle Inc.
BD capacity

Dec 21, 1983 → Jul 28, 1988

Source & corrections

Where this page comes from

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