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Katherine Engel
Katherine R Kearns, Katherine Kearns, Kelly Kearns
CRD#: 6761903
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 700 MAIN ST
NAPA, CA 94559
NAPA, CA 94559
0
Disclosures
7
Years of Experience
View By:
State Registrations
B
Alaska 1/9/2024
B
Nevada 5/30/2023
B
California 5/30/2023
B
New Jersey 5/30/2023
IA
California 5/31/2023
B
New Mexico 1/9/2024
B
Colorado 5/30/2023
B
New York 5/15/2024
B
Connecticut 5/13/2024
B
North Carolina 5/30/2023
B
Florida 1/9/2024
B
Ohio 1/9/2024
B
Georgia 1/9/2024
B
Oregon 5/30/2023
B
Hawaii 5/30/2023
B
South Dakota 5/30/2023
B
Idaho 5/30/2023
B
Texas 5/30/2023
B
Illinois 1/9/2024
IA
Texas 5/30/2023
B
Indiana 1/9/2024
B
Utah 3/22/2024
B
Massachusetts 12/12/2023
B
Virginia 1/9/2024
B
Michigan 10/5/2023
B
Washington 5/30/2023
B
Mississippi 11/6/2024
B
Wisconsin 5/30/2023
B
Missouri 7/27/2023
SRO Registrations
B
B
B
B
B
B
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IA
Registered with this firm since 5/30/2023
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Registered with this firm since 5/30/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/12/2021 - 06/13/2023 | Napa, CA | |
B | 03/12/2021 - 06/13/2023 | Napa, CA | |
IA | 06/06/2017 - 03/16/2021 | NAPA, CA | |
B | 04/20/2017 - 03/16/2021 | NAPA, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.