Kathryne Elaine Micken

CRD 5036578 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · New Orleans, LA

IA RegisteredBroker

Also appears in the source record as: Kathryne E Micken; Kathryne Micken

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 66Series 24Series 9Series 10Series 79TOSeries 57SIESeries 7
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 21
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5036578 contains one or more disclosure events as of Aug 20, 2026.

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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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New Orleans, LA · IA capacity

Sep 3, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
New Orleans, LA · BC capacity

start not retrieved → present
Tripletree, LLC
BD capacity

Jun 10, 2022 → Apr 3, 2024
Kippsdesanto & Company
BD capacity

Jun 10, 2022 → Apr 3, 2024
Capital One Securities, Inc.
BD capacity

May 9, 2018 → Apr 3, 2024
Raymond James & Associates, Inc.
IA capacity

Oct 5, 2015 → May 2, 2017
Raymond James & Associates, Inc.
BD capacity

Mar 9, 2015 → May 2, 2017
Swbc Investment Services, LLC
BD capacity

Oct 2, 2014 → Mar 2, 2015
Swbc Investment Company
IA capacity

Oct 2, 2014 → Mar 2, 2015
Usaa Financial Advisors, Inc.
BD capacity

Jan 29, 2008 → Jul 11, 2014
Usaa Financial Planning Services
IA capacity

Jan 29, 2008 → Jul 11, 2014
Ubs Financial Services Inc.
IA capacity

Dec 13, 2005 → Jan 24, 2008
Ubs Financial Services Inc.
BD capacity

Nov 29, 2005 → Jan 24, 2008

Source & corrections

Where this page comes from

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