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KIM MARTIN CALDWELL
CRD#: 5315827
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1 PARK PL
ANNAPOLIS, MD 21401
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - Present (17 years)
License(s)

State Registrations

B
Arizona 1/19/2012

B
Missouri 9/23/2024

B
Arkansas 3/7/2013

B
Nevada 3/26/2019

B
California 9/24/2008

B
New Jersey 1/11/2012

B
Colorado 8/24/2017

B
New York 9/8/2009

B
Connecticut 1/11/2013

B
North Carolina 2/24/2009

B
Delaware 5/5/2010

B
Ohio 6/30/2021

B
District of Columbia 2/5/2009

B
Oregon 4/26/2022

B
Florida 2/5/2009

B
Pennsylvania 2/5/2009

B
Georgia 9/2/2021

B
Rhode Island 1/11/2012

B
Hawaii 6/4/2019

B
South Carolina 6/16/2016

B
Illinois 8/1/2018

B
South Dakota 3/11/2022

B
Louisiana 10/30/2023

B
Tennessee 11/7/2018

B
Maine 10/20/2020

B
Texas 6/30/2011

B
Maryland 11/2/2007

IA
Texas 7/5/2011

IA
Maryland 11/2/2007

B
Virginia 2/5/2009

B
Massachusetts 1/11/2012

B
Washington 8/1/2019

B
Michigan 1/19/2012

B
West Virginia 12/16/2008

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)
1 PARK PL, ANNAPOLIS, MD 21401
Registered with this firm since 11/2/2007

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1 PARK PL, ANNAPOLIS, MD 21401
Registered with this firm since 11/2/2007

Previous Registration(s)
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IA
09/24/2007 - 11/15/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ANNAPOLIS, MD
B
08/14/2007 - 11/15/2007 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) ANNAPOLIS, MD
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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.