Karen O'kane

CRD 4940571 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New York, NY

IA RegisteredBroker

Also appears in the source record as: Karen Brady; Karen Okane

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 52TOSIESeries 7Series 53Series 24Series 10Series 9Series 66
Registered states (1): Rhode Island
Years in the industry (source record): 19
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 (15)

From the source registration record · current first

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

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

start not retrieved → present
Metlife Securities Inc.
West Warwick, RI · IA capacity

Nov 29, 2011 → May 28, 2015
Metlife Securities Inc.
West Warwick, RI · BC capacity

Nov 22, 2011 → May 28, 2015
Metlife Investors Distribution Company
West Warwick, RI · BC capacity

Nov 22, 2011 → May 28, 2015
New England Securities Corporation
West Warwick, RI · IA capacity

Nov 29, 2011 → Jan 2, 2015
New England Securities
West Warwick, RI · BC capacity

Nov 22, 2011 → Jan 2, 2015
Walnut Street Securities, Inc.
West Warwick, RI · IA capacity

Nov 29, 2011 → Sep 4, 2013
Tower Square Securities, Inc.
West Warwick, RI · IA capacity

Nov 29, 2011 → Sep 4, 2013
Walnut Street Securities, Inc.
West Warwick, RI · BC capacity

Nov 22, 2011 → Sep 4, 2013
Tower Square Securities, Inc.
West Warwick, RI · BC capacity

Nov 22, 2011 → Sep 4, 2013
Banc Of America Investment Services, Inc.
Lincoln, RI · IA capacity

Mar 6, 2007 → Oct 23, 2009
Banc Of America Investment Services, Inc.
Lincoln, RI · BC capacity

Mar 1, 2007 → Oct 23, 2009
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Sep 21, 2005 → Jun 27, 2006
Ameriprise Financial Services, Inc.
Brookfield, WI · BC capacity

Sep 21, 2005 → Jun 27, 2006

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4940571 ↗ FINRA BrokerCheck record for CRD 4940571 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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