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KIMBERLY KAY FLORES
CRD#: 2530661
IA
Investment Adviser
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Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 500 NEWPORT CTR DR
NEWPORT BEACH, CA 92660
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2003 - 2009 (6 years)BMORGAN STANLEY DW INC. (CRD# 7556)1998 - 2003 (5 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2005 - 2009 (4 years)
License(s)

State Registrations

B
Arizona 10/23/2009

B
Massachusetts 5/10/2012

B
Arkansas 5/10/2012

B
Nevada 3/23/2012

B
California 10/23/2009

B
Oregon 2/23/2016

IA
California 10/23/2009

B
Utah 5/10/2012

B
Colorado 1/13/2015

B
Washington 2/23/2016

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)
500 NEWPORT CTR DR, NEWPORT BEACH, CA 92660
Irvine, CA
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
500 NEWPORT CTR DR, NEWPORT BEACH, CA 92660
Irvine, CA
Registered with this firm since 10/23/2009

Previous Registration(s)
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02/18/2005 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) NEWPORT BEACH, CA
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04/11/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) NEWPORT BEACH, CA
B
03/24/1998 - 03/25/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
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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.