Kate Ma Martinez

CRD 2905261 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Mateo, CA

IA RegisteredBroker

Also appears in the source record as: Kate Qiman Ma; Kate Ma

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 (17): Arizona · California · Georgia · Hawaii · Idaho · Michigan · Minnesota · Missouri · Montana · Nevada · New Mexico · New York · North Carolina · Oregon · Tennessee · Texas · Washington
Years in the industry (source record): 29
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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Mateo, CA · IA capacity

Feb 29, 2008 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Mateo, CA · BC capacity

start not retrieved → present
Wells Fargo Investments, LLC
IA capacity

May 15, 2001 → Mar 3, 2008
Wells Fargo Investments, LLC
BD capacity

May 2, 2001 → Mar 3, 2008
Wells Fargo Securities Inc.
BD capacity

Feb 2, 2001 → May 2, 2001
White Pacific Securities, Inc.
BD capacity

Aug 24, 2000 → Feb 5, 2001
Thomas F. White & Co., Incorporated
BD capacity

Jul 18, 1997 → Jan 26, 2001

Source & corrections

Where this page comes from

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