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Kathleen M Auth
KATHLEEN M AUTH, KATHLEEN A MCENTEE, KATHLEEN AMY MCENTEE
CRD#: 1766040
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 FEDERAL ST
BOSTON, MA 02110
Registration History
199019952000200520102015202020252 FIRMS2019 - Present (5 years)BTHE DREYFUS SERVICE CORPORATION (CRD# 231)1988 - 1988 (<1 year)
License(s)

State Registrations

B
Connecticut 9/26/2019

B
Massachusetts 9/26/2019

IA
Connecticut 9/26/2019

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 9/26/2019

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST, BOSTON, MA 02110
Registered with this firm since 6/25/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
B
03/02/1988 - 06/04/1988 THE DREYFUS SERVICE CORPORATION (CRD#:231)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.