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KATHLEEN ANN GAIN
KATHY GAIN, KATHLEEN ANN SCHURMAN
CRD#: 1803459
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 CAPITOL ST
HOUSTON, TX 77002
Registration History
199019952000200520102015202020252 FIRMS1994 - Present (30 years)BAMERICAN CAPITAL MARKETING, INC. (CRD# 6699)1988 - 1992 (4 years)BADVANTAGE CAPITAL CORPORATION (CRD# 146)1988 - 1989 (1 year)
License(s)

State Registrations

B
Alabama 9/11/2009

B
Michigan 9/11/2009

B
Arizona 9/11/2009

B
Mississippi 9/11/2009

B
Arkansas 4/17/2023

B
Nevada 9/11/2009

B
California 3/18/2009

B
New Jersey 9/20/2018

B
Colorado 3/18/2009

B
New Mexico 9/11/2009

B
Connecticut 1/7/2014

B
New York 3/18/2009

B
Florida 3/18/2009

B
North Carolina 3/18/2009

B
Georgia 3/18/2009

B
Ohio 6/17/2019

B
Illinois 9/11/2009

B
Oklahoma 3/18/2009

B
Indiana 5/11/2022

B
Pennsylvania 3/18/2009

B
Iowa 7/10/2023

B
South Carolina 9/11/2009

B
Kentucky 9/11/2009

B
Tennessee 4/27/2010

B
Louisiana 3/18/2009

B
Texas 8/24/1994

B
Maryland 10/5/2015

IA
Texas 8/24/1994

B
Massachusetts 1/6/2014

B
Washington 3/18/2009

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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Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

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)
800 CAPITOL ST, HOUSTON, TX 77002
Registered with this firm since 8/24/1994

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 CAPITOL ST, HOUSTON, TX 77002
Registered with this firm since 8/24/1994

Previous Registration(s)
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B
10/26/1988 - 12/11/1992 AMERICAN CAPITAL MARKETING, INC. (CRD#:6699)
B
10/26/1988 - 12/31/1989 ADVANTAGE CAPITAL CORPORATION (CRD#:146) ATLANTA, GA
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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.