Kara Cioffi

CRD 5446138 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Venice, FL

IA RegisteredBroker

Also appears in the source record as: Kara Lynn Cioffi; Kara Lynn Malone; Kara Malone; Kara Lynn Mendez Miss

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (50): 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 · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 14
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5446138 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 (7)

From the source registration record · current first

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

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Venice, FL · BC capacity

start not retrieved → present
Suntrust Advisory Services, Inc.
Englewood, FL · IA capacity

Aug 22, 2016 → Mar 7, 2018
Suntrust Investment Services, Inc.
Englewood, FL · BC capacity

Nov 23, 2015 → Mar 7, 2018
Suntrust Investment Services, Inc.
Englewood, FL · IA capacity

Nov 24, 2015 → Dec 31, 2016
Wells Fargo Advisors, LLC
Venice, FL · BC capacity

Jul 11, 2014 → Jan 2, 2015
Wells Fargo Advisors, LLC
Venice, FL · IA capacity

Jul 9, 2014 → Jan 2, 2015

Source & corrections

Where this page comes from

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