Catherine Miles Hopkins

CRD 4815813 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Tallahassee, FL

IA RegisteredBroker

Also appears in the source record as: Catherine Hopkins; Cathy M Hopkins; Cathy Hopkins; M Catherine Hopkins; M Catherine Hopkins

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): Series 66SIESeries 7
Registered states (13): Alabama · Connecticut · Florida · Georgia · Hawaii · Maryland · Massachusetts · New Jersey · New York · North Carolina · Pennsylvania · Tennessee · Texas
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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Tallahassee, FL · IA capacity

Mar 2, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Tallahassee, FL · BC capacity

start not retrieved → present
Suntrust Investment Services, Inc.
BD capacity

Feb 1, 2012 → Jan 26, 2015
Morgan Keegan & Company, Inc.
BD capacity

Feb 13, 2007 → Jan 21, 2011
Amsouth Investment Services, Inc.
BD capacity

Jun 7, 2006 → Feb 13, 2007
Morgan Keegan & Company, Inc.
IA capacity

Aug 3, 2005 → May 22, 2006
Morgan Keegan & Company, Inc.
BD capacity

Aug 2, 2005 → May 22, 2006
Credit Suisse First Boston
IA capacity

Nov 17, 2004 → Aug 3, 2005
Credit Suisse First Boston LLC
BD capacity

Sep 8, 2004 → Aug 3, 2005

Source & corrections

Where this page comes from

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