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Kathleen Ann Flock

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Kathleen Ann Flock

Kathleen Flock is a financial professional with over 20 years of experience in the industry. Kathleen has worked with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2009. Prior to that, Kathleen worked at BANC OF AMERICA INVESTMENT SERVICES, INC. and CITICORP INVESTMENT SERVICES. Kathleen is registered to provide investment advice in New Jersey and New York and holds a Series 65, Series 66 and Series 7 licenses. Kathleen specializes in providing investment advice to individuals, businesses, pension and profit sharing plans, corporations, charitable organizations, and insurance companies.

Firm Information

Kathleen Flock is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Kathleen Flock’s Registration & Firm History

NY

04/19/2021 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)

NY

01/03/2007 - 10/23/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (MELVILLE NY)

NY

06/01/2001 - 01/04/2007

CITICORP INVESTMENT SERVICES (UNIONDALE NY)

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Licenses & Designations

IA

Issued 06/14/2007

Series 65 - Uniform Investment Adviser Law Examination

BOTH

Issued 12/04/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/06/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kathleen Ann Flock.
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