• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CATHRYN NICOLE LINDSEY
CATHRYN LINDSEY, CATHRYN NICOLE TOOLEY, NIKKI TOOLEY
CRD#: 2575960
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10000 AVALON BLVD
ALPHARETTA, GA 30009
Registration History
20002002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2006 - Present (18 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2000 - Present (25 years)
License(s)

State Registrations

B
Alabama 9/12/2006

B
Minnesota 1/29/2010

B
Arizona 12/12/2017

B
Mississippi 1/7/2019

B
Arkansas 6/27/2019

B
Missouri 1/7/2019

B
California 9/12/2006

B
Nevada 12/12/2017

B
Colorado 9/4/2012

B
New Hampshire 11/13/2023

B
Connecticut 8/15/2023

B
New Jersey 9/12/2006

B
Delaware 1/16/2023

B
New York 9/12/2006

B
District of Columbia 9/4/2012

B
North Carolina 9/12/2006

B
Florida 1/14/2000

B
Ohio 9/13/2006

IA
Florida 9/7/2006

B
Oklahoma 12/12/2017

B
Georgia 9/12/2006

B
Oregon 4/22/2019

IA
Georgia 1/7/2009

B
Pennsylvania 3/24/2010

B
Illinois 9/12/2006

B
South Carolina 9/12/2006

B
Indiana 6/27/2019

B
Tennessee 11/16/2009

B
Kansas 6/27/2019

B
Texas 9/12/2006

B
Kentucky 6/27/2019

IA
Texas 9/12/2006

B
Louisiana 2/27/2024

B
Utah 5/1/2023

B
Maine 12/12/2017

B
Virginia 9/12/2006

B
Maryland 4/1/2013

B
Washington 6/8/2010

B
Massachusetts 3/24/2010

B
Wisconsin 2/1/2016

B
Michigan 11/26/2024

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

View Exams Passed by the individual in the detailed report

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)
10000 AVALON BLVD, ALPHARETTA, GA 30009
3455 PEACHTREE RD NE, ATLANTA, GA 30326
Registered with this firm since 9/7/2006

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
3455 PEACHTREE RD NE, ATLANTA, GA 30326
Registered with this firm since 1/10/2000

For additional information about investment advisers or broker-dealers, please visit
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.