Kathleen Marie Vaughan

CRD 2657008 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Bloomington, MN

IA RegisteredBroker

Also appears in the source record as: Kathleen Marie Langenfeld; Langenfeld Kathleen Marie; Kathy Vaughan

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 63Series 9Series 10SIESeries 7
Registered states (45): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin
Years in the industry (source record): 31
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
Bloomington, MN · IA capacity

Apr 29, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Bloomington, MN · BC capacity

start not retrieved → present
Morgan Stanley
IA capacity

Feb 5, 2014 → May 13, 2016
Morgan Stanley
BD capacity

Jun 1, 2009 → May 13, 2016
Morgan Stanley & Co. Incorporated
BD capacity

Jan 30, 2009 → Jun 1, 2009
Ubs Financial Services Inc.
BD capacity

Aug 12, 2006 → Feb 11, 2009
Piper Jaffray & Co.
BD capacity

Apr 16, 1996 → Aug 12, 2006
Primevest Financial Services, Inc.
BD capacity

Sep 26, 1995 → Apr 11, 1996

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 2657008 ↗ FINRA BrokerCheck record for CRD 2657008 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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