Kathryn L Wallace

CRD 2197639 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Kansas City, MO

IA RegisteredBroker

Also appears in the source record as: Kathryn Lynn Ingebretson; Kathryn Lynn Ingelbretson; Kathryn Lynn Richman; Kathy Richman; Kathy Richman Wallace; Kathryn Lynn Wallace

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 9Series 10Series 26SIESeries 7Series 6
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 34
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2197639 contains one or more disclosure events as of Aug 20, 2026.

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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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Leawood, KS · IA capacity

Oct 25, 2022 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Kansas City, MO · BC capacity

start not retrieved → present
Waddell & Reed
IA capacity

May 13, 2004 → Apr 30, 2021
Ivy Distributors, Inc.
BD capacity

Apr 26, 2004 → Apr 30, 2021
Waddell & Reed
BD capacity

Apr 16, 2004 → Apr 30, 2021
Banc Of America Investment Services, Inc.
IA capacity

Apr 4, 2002 → Sep 2, 2003
Banc Of America Investment Services, Inc.
BD capacity

Jan 5, 2001 → Sep 2, 2003
Mfs Fund Distributors, Inc.
BD capacity

Jul 9, 1998 → Jan 16, 2001
Pilgrim America Securities, Inc.
BD capacity

Jul 21, 1995 → Jul 8, 1998
Sunamerica Securities, Inc.
BD capacity

Jun 13, 1994 → Jul 28, 1995
American Capital Marketing, Inc.
BD capacity

Jun 8, 1992 → May 18, 1994

Source & corrections

Where this page comes from

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