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CARALEE Kennedy
CARALEE COTHAM, Caralee Kathleen Kennedy, Caralee Kennedy
CRD#: 7073448
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 39 BONNET ST
MANCHESTER CENTER, VT 05255
Registration History
201920202021202220232024202520262 FIRMS2019 - 2020 (<1 year)2 FIRMS2020 - Present (4 years)
License(s)

State Registrations

B
Arizona 5/23/2022

B
New Jersey 9/16/2021

B
California 11/17/2022

B
New York 9/16/2021

B
Colorado 10/4/2024

B
Ohio 11/9/2022

B
Connecticut 9/16/2021

B
Rhode Island 9/16/2021

B
Florida 9/16/2021

B
Texas 9/16/2021

B
Georgia 7/7/2022

IA
Texas 10/6/2021

B
Maine 9/16/2021

B
Vermont 10/19/2020

B
Maryland 4/4/2024

IA
Vermont 10/19/2020

B
Massachusetts 9/16/2021

B
Virginia 8/26/2024

B
New Hampshire 9/16/2021

B
Washington 8/22/2023

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)
39 BONNET ST, MANCHESTER CENTER, VT 05255
Registered with this firm since 10/19/2020

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
39 BONNET ST, MANCHESTER CENTER, VT 05255
Registered with this firm since 10/15/2020

Previous Registration(s)
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IA
12/10/2019 - 07/20/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SARATOGA SPRINGS, NY
B
09/05/2019 - 07/20/2020 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SARATOGA SPRINGS, NY
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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.