Kathryn M Welles

CRD 3273973 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Kathryn Ha Hansmann; Kathryn Margaret Hansmann; Kathryn Ha Welles

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): SIESeries 31Series 7Series 24Series 10Series 9Series 65Series 63
Registered states (1): Rhode Island
Years in the industry (source record): 25
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
North Kingstown, RI · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New York, NY · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney LLC
Newport, RI · IA capacity

Jun 1, 2009 → Aug 17, 2011
Morgan Stanley Smith Barney
Newport, RI · BC capacity

Jun 1, 2009 → Aug 17, 2011
Citigroup Global Markets Inc.
Newport, RI · IA capacity

Nov 18, 2006 → Jun 1, 2009
Citigroup Global Markets Inc.
Newport, RI · BC capacity

Mar 13, 2006 → Jun 1, 2009
Banc Of America Investment Services, Inc.
Lincoln, RI · BC capacity

Nov 22, 2005 → Mar 4, 2006
Commonwealth Financial Network
Waltham, MA · BC capacity

Feb 13, 2002 → Dec 15, 2004
Td Waterhouse Investor Services, Inc.
Omaha, NE · BC capacity

Oct 19, 1999 → Aug 15, 2001

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 3273973 ↗ FINRA BrokerCheck record for CRD 3273973 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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