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Heather A Walsh
HEATHER ANNE KAYAT, HEATHER ANNE WALSH, Heather A Walsh-Poston
CRD#: 2167129
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1803 BROADWAY ST
SAN ANTONIO, TX 78215
Registration History
19952000200520102015202020252 FIRMS1997 - Present (27 years)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1993 - 1997 (4 years)BBEAR, STEARNS & CO. INC. (CRD# 79)1992 - 1992 (<1 year)BTHOMAS JAMES ASSOCIATES, INC. (CRD# 15609)1991 - 1992 (<1 year)
License(s)

State Registrations

B
Alabama 1/19/2012

B
Montana 6/22/2010

B
Alaska 1/18/2012

B
Nebraska 2/7/2012

B
Arizona 7/13/2010

B
Nevada 7/6/2010

B
Arkansas 1/18/2012

B
New Hampshire 11/13/2001

B
California 5/2/2002

B
New Jersey 4/30/2002

B
Colorado 6/20/2001

B
New Mexico 6/21/2010

B
Connecticut 12/9/2008

B
New York 6/22/1999

B
Delaware 11/26/2007

B
North Carolina 2/5/2003

B
District of Columbia 7/15/2010

B
North Dakota 1/18/2012

B
Florida 6/10/1998

B
Ohio 2/10/1998

B
Georgia 7/7/2010

B
Oklahoma 7/14/2010

B
Hawaii 6/21/2010

B
Oregon 1/6/2003

B
Idaho 6/22/2010

B
Pennsylvania 1/17/2002

B
Illinois 5/9/2002

B
Puerto Rico 11/23/2011

B
Indiana 6/22/2010

B
Rhode Island 6/22/2010

B
Iowa 6/24/2010

B
South Carolina 6/22/2010

B
Kansas 6/24/2010

B
South Dakota 1/26/2012

B
Kentucky 1/7/2003

B
Tennessee 6/22/2010

B
Louisiana 7/1/2010

IA
Texas 3/23/2005

B
Maine 11/2/1998

B
Texas 7/25/2005

IA
Maine 9/22/2010

B
Utah 6/22/2010

B
Maryland 8/1/1997

B
Vermont 2/5/2003

IA
Maryland 8/6/1997

B
Virgin Islands 1/23/2012

B
Massachusetts 5/1/2000

B
Virginia 7/3/2002

B
Michigan 7/22/2010

B
Washington 8/8/2001

B
Minnesota 6/23/2010

B
West Virginia 6/23/2010

B
Mississippi 1/18/2012

B
Wisconsin 6/22/2010

B
Missouri 6/22/2010

B
Wyoming 6/21/2010

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 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)
1803 BROADWAY ST, SAN ANTONIO, TX 78215
San Antonio, TX
Registered with this firm since 8/6/1997

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1803 BROADWAY ST, SAN ANTONIO, TX 78215
San Antonio, TX
Registered with this firm since 8/1/1997

Previous Registration(s)
th hidden textth hidden textNameLocation
B
03/29/1993 - 07/10/1997 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784) SMITHFIELD, RI
B
09/09/1992 - 12/18/1992 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, NY
B
09/05/1991 - 06/25/1992 THOMAS JAMES ASSOCIATES, INC. (CRD#:15609)
FINRA expelled the firm on 03/01/1999
ROCHESTER, NY
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B
Broker
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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.