Keira M Rawlings

CRD 1271581 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Greenwood Village, CO

IA RegisteredBroker

Also appears in the source record as: Keira Marie Gallegos; Keira Marie Rawlings

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 63Series 10Series 9Series 28Series 24SIESeries 7
Registered states (1): Colorado
Years in the industry (source record): 42
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 (16)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Greenwood Village, CO · IA capacity

Mar 25, 2026 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Greenwood Village, CO · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
IA capacity

Apr 14, 2017 → Sep 10, 2025
Ubs Financial Services Inc.
BD capacity

Jan 30, 2017 → Sep 10, 2025
Morgan Stanley Smith Barney LLC
IA capacity

Jan 7, 2010 → Mar 31, 2010
Morgan Stanley Smith Barney
BD capacity

Jun 1, 2009 → Mar 31, 2010
Citigroup Global Markets Inc.
BD capacity

Dec 11, 2008 → Jun 1, 2009
Raymond James & Associates, Inc.
BD capacity

Dec 13, 2006 → Mar 12, 2007
Cascade Financial Management, Inc.
BD capacity

Aug 13, 2003 → Dec 31, 2004
Cascade Investment Group, Inc.
BD capacity

Jul 10, 2000 → Aug 16, 2001
Wall Street Discoveries, LLC
BD capacity

Dec 5, 1997 → Jul 22, 1998
Bjr & Associates, Inc
BD capacity

Mar 24, 1994 → Oct 25, 1996
Dain Bosworth Incorporated
BD capacity

Aug 19, 1992 → Jan 19, 1994
Kemper Securities Group, Inc.
BD capacity

Sep 4, 1990 → Oct 11, 1991
Boettcher & Company, Inc.
BD capacity

Jul 17, 1989 → Sep 4, 1990
Smith Barney, Harris Upham & Co., Incorporated
BD capacity

Nov 21, 1984 → Jul 19, 1989

Source & corrections

Where this page comes from

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