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KATIE KELLY
KATIE N RUSCA, KATIE NICOLE RUSCA
CRD#: 5911294
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 555 CAPITOL MALL
SACRAMENTO, CA 95814
Registration History
201220142016201820202022202420262 FIRMS2014 - Present (10 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2011 - 2014 (2 years)
License(s)

State Registrations

B
Alabama 9/26/2014

B
Mississippi 7/3/2023

B
Alaska 4/26/2016

B
Missouri 9/17/2014

B
Arizona 9/25/2014

B
Montana 4/22/2016

B
Arkansas 7/3/2023

B
Nevada 9/30/2014

B
California 9/17/2014

B
New Jersey 10/2/2014

IA
California 4/5/2016

B
New Mexico 9/18/2014

B
Colorado 9/18/2014

B
New York 9/18/2014

B
Connecticut 11/6/2015

B
North Carolina 9/18/2014

B
District of Columbia 1/21/2021

B
Ohio 9/17/2014

B
Florida 9/19/2014

B
Oklahoma 9/23/2014

B
Georgia 9/22/2014

B
Oregon 9/22/2014

B
Hawaii 4/21/2016

B
Pennsylvania 9/24/2014

B
Idaho 4/21/2016

B
Rhode Island 5/6/2016

B
Illinois 9/17/2014

B
South Carolina 1/26/2017

B
Indiana 9/23/2014

B
South Dakota 2/12/2021

B
Iowa 1/16/2023

B
Tennessee 9/23/2014

B
Kansas 4/4/2017

B
Texas 5/6/2014

B
Kentucky 3/29/2017

IA
Texas 9/11/2014

B
Louisiana 9/22/2014

B
Utah 4/21/2016

B
Maine 11/1/2024

B
Virginia 9/23/2014

B
Maryland 9/24/2014

B
Washington 9/17/2014

B
Massachusetts 9/26/2014

B
West Virginia 4/21/2016

B
Michigan 9/23/2014

B
Wisconsin 10/2/2014

B
Minnesota 10/6/2014

B
Wyoming 1/15/2025

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)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 9/11/2014

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
555 CAPITOL MALL, SACRAMENTO, CA 95814
Registered with this firm since 4/29/2014

Previous Registration(s)
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B
10/13/2011 - 02/28/2014 CHARLES SCHWAB & CO., INC. (CRD#:5393) AUSTIN, TX
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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.