Kulvinder Kaur

CRD 4808596 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Florham Park, NJ

IA RegisteredBroker

Also appears in the source record as: Cristy Kaur

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 66Series 63SIESeries 7
Registered states (14): Arizona · California · Connecticut · Florida · Massachusetts · Minnesota · New Jersey · New Mexico · New York · North Carolina · Pennsylvania · Texas · Virginia · West Virginia
Years in the industry (source record): 22
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 (4)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Florham Park, NJ · IA capacity

Nov 23, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Florham Park, NJ · BC capacity

start not retrieved → present
Norfolk Markets, LLC
BD capacity

Feb 28, 2012 → Sep 16, 2015
Swiss Re Capital Markets Corporation
BD capacity

Sep 30, 2004 → Jan 7, 2011

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4808596 ↗ FINRA BrokerCheck record for CRD 4808596 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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