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Kim L Collins
KIM LOUISE COLLINS, KIM LOUISE HOCHSTADTER
CRD#: 5745954
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 701 B ST
SAN DIEGO, CA 92101
Registration History
20142015201620172018201920202021202220232024202520262 FIRMS2015 - 2019 (3 years)2 FIRMS2019 - 2021 (2 years)2 FIRMS2021 - Present (3 years)BOPPENHEIMER & CO. INC. (CRD# 249)2014 - 2015 (<1 year)IAOPPENHEIMER & CO. INC. (CRD# 249)2015 - 2015 (<1 year)
License(s)

State Registrations

B
Alabama 7/28/2022

B
Minnesota 11/16/2021

B
Alaska 10/2/2023

B
Missouri 11/16/2021

B
Arizona 11/16/2021

B
Montana 7/28/2022

B
Arkansas 8/15/2024

B
Nebraska 11/16/2021

B
California 11/12/2021

B
Nevada 11/16/2021

IA
California 11/12/2021

B
New Hampshire 11/16/2021

B
Colorado 11/16/2021

B
New Jersey 11/16/2021

B
Connecticut 9/6/2024

B
New Mexico 5/20/2024

B
Delaware 9/16/2024

B
New York 11/16/2021

B
District of Columbia 1/11/2024

B
North Carolina 11/16/2021

B
Florida 11/16/2021

B
Ohio 11/16/2021

B
Georgia 7/28/2022

B
Oregon 11/16/2021

B
Hawaii 1/11/2024

B
Pennsylvania 11/16/2021

B
Idaho 7/28/2022

B
Rhode Island 11/16/2021

B
Illinois 11/16/2021

B
South Carolina 11/16/2021

B
Indiana 11/16/2021

B
South Dakota 11/16/2021

B
Iowa 11/8/2022

B
Tennessee 7/28/2022

B
Kansas 7/28/2022

B
Texas 11/16/2021

B
Kentucky 11/16/2021

IA
Texas 11/16/2021

B
Louisiana 11/16/2021

B
Utah 11/16/2021

B
Maine 7/28/2022

B
Virginia 7/28/2022

B
Maryland 7/28/2022

B
Washington 11/16/2021

B
Massachusetts 11/16/2021

B
West Virginia 11/29/2023

B
Michigan 11/16/2021

B
Wisconsin 11/16/2021

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)
701 B ST, SAN DIEGO, CA 92101
Registered with this firm since 11/12/2021

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
701 B ST, SAN DIEGO, CA 92101
Registered with this firm since 11/12/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/13/2019 - 11/02/2021 RBC CAPITAL MARKETS, LLC (CRD#:31194) LA JOLLA, CA
B
05/13/2019 - 11/02/2021 RBC CAPITAL MARKETS, LLC (CRD#:31194) LA JOLLA, CA
IA
09/17/2015 - 05/14/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
B
09/17/2015 - 05/14/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SAN DIEGO, CA
IA
04/30/2015 - 10/01/2015 OPPENHEIMER & CO. INC. (CRD#:249) SAN DIEGO, CA
B
11/11/2014 - 10/01/2015 OPPENHEIMER & CO. INC. (CRD#:249) SAN DIEGO, 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.