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KARA ELIZABETH WORTHINGTON
CRD#: 3029117
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3455 PEACHTREE RD NE
ATLANTA, GA 30326
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - Present (15 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)1998 - 2009 (11 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2009 (7 years)
Disclosure(s)
View By:
5/22/2008
Customer Dispute
Settled
License(s)

State Registrations

IA
Alabama 10/23/2009

B
Minnesota 7/2/2024

B
Alabama 3/30/2015

B
Mississippi 9/8/2014

B
Alaska 5/17/2019

B
Montana 7/16/2020

B
Arizona 2/7/2019

B
Nevada 5/12/2021

B
Arkansas 5/3/2022

B
New Hampshire 10/23/2009

B
California 9/30/2016

B
New Jersey 1/16/2019

B
Colorado 2/26/2013

B
New Mexico 2/25/2014

B
Connecticut 1/28/2019

B
New York 10/23/2009

B
Delaware 2/5/2019

B
North Carolina 10/23/2009

B
Florida 10/23/2009

B
Ohio 11/21/2022

B
Georgia 10/23/2009

B
Oklahoma 5/3/2022

IA
Georgia 10/23/2009

B
Pennsylvania 1/19/2021

B
Illinois 10/23/2009

B
South Carolina 10/23/2009

B
Indiana 12/17/2019

B
Tennessee 1/16/2019

B
Iowa 7/2/2024

IA
Texas 6/28/2012

B
Kansas 12/19/2019

B
Texas 7/6/2012

B
Kentucky 1/7/2010

B
Utah 1/28/2019

B
Louisiana 5/16/2019

B
Virginia 11/28/2018

B
Maryland 4/8/2019

B
Washington 6/20/2024

B
Massachusetts 10/23/2009

B
West Virginia 3/25/2020

B
Michigan 12/17/2024

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

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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)
3455 PEACHTREE RD NE, ATLANTA, GA 30326
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3455 PEACHTREE RD NE, ATLANTA, GA 30326
Registered with this firm since 10/23/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/25/2002 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) ATLANTA, GA
B
04/16/1998 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) 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.