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Kimberly Ann Moseley
KIMBERLY ANN BUSH, KIMBERLY ANN RODRIGUEZ
CRD#: 2877573
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 VACAVILLE, CA
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2008 - 2010 (2 years)2 FIRMS2010 - 2021 (11 years)2 FIRMS2022 - Present (2 years)BMORGAN STANLEY DW INC. (CRD# 7556)1997 - 2007 (9 years)IAMORGAN STANLEY (CRD# 7556)1998 - 2007 (8 years)
License(s)

State Registrations

B
Alabama 4/15/2022

B
Nebraska 4/15/2022

B
Alaska 4/15/2022

B
Nevada 4/15/2022

B
Arizona 4/15/2022

B
New Hampshire 4/15/2022

B
Arkansas 4/15/2022

B
New Jersey 4/15/2022

B
California 4/13/2022

B
New Mexico 4/15/2022

IA
California 4/13/2022

B
New York 4/15/2022

B
Colorado 4/15/2022

B
North Carolina 4/15/2022

B
Connecticut 4/15/2022

B
North Dakota 4/15/2022

B
Delaware 4/15/2022

B
Ohio 4/15/2022

B
District of Columbia 4/15/2022

B
Oklahoma 4/15/2022

B
Florida 4/15/2022

B
Oregon 4/15/2022

B
Georgia 4/15/2022

B
Pennsylvania 4/15/2022

B
Hawaii 4/15/2022

B
Puerto Rico 4/15/2022

B
Idaho 4/15/2022

B
Rhode Island 4/15/2022

B
Illinois 4/15/2022

B
South Carolina 4/15/2022

B
Indiana 4/15/2022

B
South Dakota 4/15/2022

B
Iowa 4/15/2022

B
Tennessee 4/15/2022

B
Kansas 4/15/2022

B
Texas 4/15/2022

B
Kentucky 4/15/2022

IA
Texas 4/28/2022

B
Louisiana 4/15/2022

B
Utah 4/15/2022

B
Maine 4/15/2022

B
Vermont 4/15/2022

B
Maryland 4/15/2022

B
Virgin Islands 4/15/2022

B
Massachusetts 4/15/2022

B
Virginia 4/15/2022

B
Michigan 4/15/2022

B
Washington 4/15/2022

B
Minnesota 4/15/2022

B
West Virginia 4/15/2022

B
Mississippi 4/15/2022

B
Wisconsin 4/15/2022

B
Missouri 4/15/2022

B
Wyoming 4/15/2022

B
Montana 4/15/2022

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)
VACAVILLE, CA
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 4/13/2022

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
VACAVILLE, CA
555 CALIFORNIA ST, SAN FRANCISCO, CA 94104
Registered with this firm since 4/13/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
03/02/2010 - 04/06/2021 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
B
03/01/2010 - 04/06/2021 MORGAN STANLEY (CRD#:149777) WALNUT CREEK, CA
IA
01/22/2008 - 02/17/2010 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) WOODLAND, CA
B
01/22/2008 - 02/17/2010 U.S. BANCORP INVESTMENTS, INC. (CRD#:17868) WOODLAND, CA
IA
03/01/2007 - 10/26/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) FAIRFIELD, CA
B
03/01/2007 - 10/26/2007 A. G. EDWARDS & SONS, INC. (CRD#:4) FAIRFIELD, CA
IA
07/30/1998 - 03/01/2007 MORGAN STANLEY (CRD#:7556) AUBURN, CA
B
04/24/1997 - 03/01/2007 MORGAN STANLEY DW INC. (CRD#:7556) AUBURN, CA
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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.