Kirk Waite Mulligan

CRD 824077 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Napa, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 5Series 7Series 66Series 63
Registered states (16): Alaska · Arkansas · California · Colorado · Florida · Georgia · Illinois · Kansas · Massachusetts · Nevada · New Jersey · New Mexico · North Carolina · Texas · Utah · Washington
Years in the industry (source record): 43
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 (14)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Napa, CA · IA capacity

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

start not retrieved → present
Kovack Securities Inc.
Ft. Lauderdale, FL · BC capacity

Oct 11, 2002 → Apr 29, 2003
Park Avenue Securities LLC
New York, NY · BC capacity

May 3, 1999 → Oct 20, 2000
Guardian Investor Services Corporation
New York, NY · BC capacity

Mar 21, 1996 → May 3, 1999
Cigna Financial Advisors,inc.
Radnor, PA · BC capacity

Aug 25, 1993 → Dec 31, 1994
Metropolitan Life Insurance Company
New York, NY · BC capacity

Oct 13, 1987 → Jan 20, 1994
Metlife Securities Inc.
Springfield, MA · BC capacity

Oct 13, 1987 → Jan 20, 1994
Boston Institutional Services Incorporated
BC capacity

Jul 12, 1984 → Apr 19, 1986
Dean Witter Reynolds Inc.
BC capacity

Oct 26, 1982 → Jul 18, 1984
Shearson/American Express Inc.
BC capacity

Sep 24, 1980 → Nov 1, 1982
Bache Halsey Stuart Shields Incorporated
BC capacity

Sep 16, 1977 → Sep 25, 1980
Bache Halsey Stuart Inc.
BC capacity

Aug 27, 1976 → Sep 16, 1977
Bache & Co Incorporated
BC capacity

Jul 1, 1976 → Aug 27, 1976

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 824077 ↗ FINRA BrokerCheck record for CRD 824077 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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