Kathleen Dickerson

CRD 2334527 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Los Angeles, CA

IA RegisteredBroker

Also appears in the source record as: Kathleen Bailey; Kathleen Dickerson; Kathleen Vaughn; Kathleen Woods

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 24Series 8SIESeries 7
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): 33
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
Los Angeles, CA · IA capacity

Jun 1, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Rbc Capital Markets, LLC
IA capacity

Oct 16, 2012 → Jun 2, 2016
Rbc Capital Markets, LLC
BD capacity

Oct 15, 2012 → Jun 2, 2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Oct 23, 2009 → Oct 16, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Oct 23, 2009 → Oct 16, 2012
Banc Of America Investment Services, Inc.
IA capacity

Jan 23, 2008 → Oct 23, 2009
Banc Of America Investment Services, Inc.
BD capacity

Jan 22, 2008 → Oct 23, 2009
Wells Fargo Investments, LLC
BD capacity

Mar 18, 2004 → Jan 15, 2008
Wells Fargo Investments, LLC
IA capacity

Mar 18, 2004 → Jan 15, 2008
Wachovia Securities, LLC
IA capacity

Jun 19, 2000 → Mar 17, 2004
Wachovia Securities, LLC
BD capacity

May 24, 2000 → Mar 17, 2004
Salomon Smith Barney Inc.
BD capacity

Apr 17, 1996 → May 31, 2000
Dean Witter Reynolds Inc.
BD capacity

Mar 14, 1994 → Mar 29, 1996
Smith Barney Shearson Inc.
BD capacity

Jul 31, 1993 → Mar 22, 1994
Lehman Brothers Inc.
BD capacity

Apr 30, 1993 → Jul 31, 1993

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2334527 ↗ FINRA BrokerCheck record for CRD 2334527 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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