• 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.
KATHRYN C ALVAREZ
KATHRYN ADEEB ADEEB, KATHRYN C ADEEB, KATHRYN CHRISTINE ADEEB, KATHRYN CHRISTINE ALVAREZ
CRD#: 5433198
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 12830 EL CAMINO REAL
SAN DIEGO, CA 92130
Registration History
2010201220142016201820202022202420262 FIRMS2009 - Present (15 years)
License(s)

State Registrations

B
Alabama 11/17/2020

B
Nevada 9/1/2009

B
Arizona 9/1/2009

B
New Jersey 5/13/2009

B
California 9/1/2009

B
New Mexico 3/15/2024

IA
California 9/2/2009

B
New York 4/19/2010

B
Colorado 5/13/2009

B
North Carolina 2/24/2010

B
Connecticut 11/3/2017

B
Oregon 9/1/2009

B
District of Columbia 8/11/2010

B
Pennsylvania 3/1/2021

B
Florida 8/11/2010

B
Rhode Island 7/3/2024

B
Georgia 1/18/2018

B
South Carolina 3/15/2022

B
Hawaii 3/1/2023

B
Tennessee 1/3/2025

B
Idaho 4/17/2023

B
Texas 11/16/2009

B
Illinois 8/11/2010

IA
Texas 2/15/2013

B
Indiana 1/21/2020

B
Virginia 8/11/2010

B
Kentucky 8/11/2010

B
Washington 9/1/2009

B
Massachusetts 5/9/2023

B
West Virginia 8/11/2010

B
Michigan 8/17/2020

B
Wyoming 4/11/2018

B
Minnesota 8/11/2010

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)
12830 EL CAMINO REAL, SAN DIEGO, CA 92130
Registered with this firm since 9/2/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
12830 EL CAMINO REAL, SAN DIEGO, CA 92130
Registered with this firm since 3/23/2009

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.