Karin Kay Ulrich-Engel

CRD 1541565 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Schaumburg, IL

IA RegisteredBroker

Also appears in the source record as: Karin Kay Ulrich

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (20): Alabama · Arizona · California · Colorado · Florida · Georgia · Hawaii · Illinois · Indiana · Maryland · Massachusetts · Michigan · Nevada · New York · North Carolina · Ohio · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 39
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 (20)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Schaumburg, IL · IA capacity

Aug 1, 2006 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Schaumburg, IL · BC capacity

start not retrieved → present
Harris Investor Services, Inc.
BD capacity

Dec 14, 2005 → Aug 7, 2006
Harris Investor Services, Inc.
IA capacity

Dec 14, 2005 → Aug 7, 2006
Harrisdirect LLC
BD capacity

May 1, 2002 → Dec 31, 2005
Harrisdirect LLC
IA capacity

Dec 11, 2000 → Dec 31, 2005
Harris Investorline Inc.
BD capacity

Dec 9, 2000 → May 1, 2002
Ameritas Investment Corp.
BD capacity

Apr 29, 1998 → Mar 7, 2002
Harris Investorline
BD capacity

Apr 15, 2000 → Dec 9, 2000
Harris Investors Direct, Inc.
BD capacity

Oct 2, 1996 → Apr 15, 2000
Laughlin Group Advisors, Inc.
BD capacity

Apr 24, 1996 → Apr 30, 1998
Comerica Securities
BD capacity

May 5, 1995 → Apr 15, 1996
Fimco Securities Group, Inc.
BD capacity

May 24, 1995 → Apr 2, 1996
Citicorp Investment Services
BD capacity

Jul 2, 1992 → May 9, 1995
Financial Horizons Securities Corporation
BD capacity

Jul 1, 1992 → Apr 6, 1993
Secura Investments, Inc.
BD capacity

Apr 3, 1990 → Aug 10, 1992
The Lincoln National Life Insurance Company
BD capacity

Apr 8, 1987 → Sep 7, 1989
First Chicago Investment Services, Inc.
BD capacity

Jul 1, 1988 → Apr 17, 1989
Lincoln National Pension Insurance Company
BD capacity

Feb 24, 1987 → Jan 3, 1989
Lincoln Financial Advisors Corporation
BD capacity

Apr 8, 1987 → Dec 31, 1988

Source & corrections

Where this page comes from

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