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KATHERINE RAMES
KATHERINE LAURA RAMES
CRD#: 5904837
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 110 N WACKER DR
CHICAGO, IL 60606
Registration History
201220142016201820202022202420262 FIRMS2017 - Present (7 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2015 - 2016 (<1 year)BCREDIT SUISSE SECURITIES (USA) LLC (CRD# 816)2012 - 2015 (3 years)
License(s)

State Registrations

B
Arizona 5/1/2017

B
Missouri 5/1/2017

B
Arkansas 8/23/2019

B
Montana 3/24/2020

B
California 5/1/2017

B
Nebraska 9/15/2017

B
Colorado 5/1/2017

B
Nevada 5/1/2017

B
Connecticut 5/1/2017

B
New Hampshire 10/2/2023

B
Delaware 11/7/2022

B
New Jersey 5/1/2017

B
District of Columbia 3/23/2020

B
New Mexico 1/19/2022

B
Florida 5/1/2017

B
New York 5/1/2017

B
Georgia 5/1/2017

B
North Carolina 5/1/2017

B
Hawaii 11/23/2022

B
Ohio 5/2/2017

B
Idaho 12/24/2024

B
Oregon 3/21/2020

B
Illinois 4/28/2017

B
Pennsylvania 5/1/2017

IA
Illinois 6/23/2017

B
Rhode Island 3/21/2020

B
Indiana 5/1/2017

B
South Carolina 5/1/2017

B
Iowa 10/1/2018

B
Tennessee 8/23/2019

B
Kansas 8/23/2019

B
Texas 5/1/2017

B
Kentucky 3/21/2020

IA
Texas 7/18/2017

B
Louisiana 4/29/2021

B
Utah 2/19/2021

B
Maine 6/15/2023

B
Virgin Islands 8/24/2021

B
Maryland 5/1/2017

B
Virginia 5/1/2017

B
Massachusetts 5/1/2017

B
Washington 5/1/2017

B
Michigan 5/1/2017

B
Wisconsin 5/1/2017

B
Minnesota 5/1/2017

B
Wyoming 10/13/2021

B
Mississippi 3/24/2020

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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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)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 6/23/2017

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
110 N WACKER DR, CHICAGO, IL 60606
Registered with this firm since 4/28/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
B
12/08/2015 - 09/26/2016 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
07/27/2012 - 12/28/2015 CREDIT SUISSE SECURITIES (USA) LLC (CRD#:816) CHICAGO, IL
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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.