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MORGAN ELYSE KENNEDY
MORGAN ELYSE THOMPKINS
CRD#: 3155490
IA
Investment Adviser
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Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5500 PRESTON RD
DALLAS, TX 75205
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2003 - 2009 (6 years)2 FIRMS2009 - Present (15 years)BBANC OF AMERICA SECURITIES LLC (CRD# 26091)2002 - 2003 (<1 year)
Disclosure(s)
View By:
7/29/2008
Customer Dispute
Settled
License(s)

State Registrations

B
Arkansas 1/31/2023

B
New York 10/23/2009

B
Maine 12/11/2009

B
Texas 10/23/2009

B
Montana 10/23/2009

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Texas 10/23/2009

B
New Jersey 10/23/2009

B
Virginia 10/23/2009

B
New Mexico 10/23/2009

B
Washington 10/23/2009

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)
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
5500 PRESTON RD, DALLAS, TX 75205
Registered with this firm since 10/23/2009

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
5500 PRESTON RD, DALLAS, TX 75205
Registered with this firm since 10/23/2009

Previous Registration(s)
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10/07/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
B
06/25/2003 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DALLAS, TX
B
04/16/2002 - 03/19/2003 BANC OF AMERICA SECURITIES LLC (CRD#:26091) NEW YORK, NY
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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.