Kennon Rene Mccarthy

CRD 2663007 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Beverly Hills, CA

IA RegisteredBroker

Also appears in the source record as: Kennon Rene Klein; Kennon Klein; Kennon Rene Klein-Mccarthy; Kennon R Klein-Mccarthy; Kennon Rene Osborne

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 7Series 6
Registered states (1): California
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2663007 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 (14)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Beverly Hills, CA · IA capacity

Jan 18, 2024 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Beverly Hills, CA · BC capacity

start not retrieved → present
City National Securities, Inc.
BD capacity

Mar 24, 2015 → Mar 21, 2022
City National Securities, Inc.
IA capacity

Mar 6, 2015 → Mar 21, 2022
Boston Private Wealth LLC
IA capacity

Dec 4, 2014 → Mar 17, 2015
Unionbanc Investment Services, LLC
BD capacity

Jan 13, 2009 → Nov 6, 2013
Unionbanc Investment Services, LLC
IA capacity

Jan 13, 2009 → Nov 6, 2013
Wells Fargo Investments, LLC
IA capacity

Jan 18, 2006 → Jan 20, 2009
Wells Fargo Investments, LLC
BD capacity

Jun 23, 2005 → Jan 20, 2009
U.S. Bancorp Investments, Inc.
BD capacity

Jun 25, 2004 → Jun 22, 2005
Wm Financial Services, Inc.
BD capacity

Jun 22, 1999 → Jun 1, 2004
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Jun 19, 1998 → Jun 1, 1999
Chatfield Dean & Co., Inc.
BD capacity

Apr 10, 1997 → May 8, 1998
Pruco Securities Corporation
BD capacity

Nov 5, 1996 → Mar 15, 1997

Source & corrections

Where this page comes from

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