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Kathryn L Wallace

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Kathryn L Wallace

Kathryn L Wallace is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm with a long history of providing financial services. Kathryn has been working in the financial industry since 1994 and is licensed to provide investment advice in Kansas and Texas. Kathryn has a wide range of experience in the financial services industry and specializes in working with a diverse clientele including high-net-worth individuals, corporations, and retirement plans. Kathryn can provide a variety of services including portfolio management, performance measurement reports, allocation modeling, IPS, research reports and services, as well as selection of other advisers.

Firm Information

Kathryn Wallace 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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Kathryn Wallace’s Registration & Firm History

MI

04/30/2024 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (FARMINGTON HILLS MI)

KS

04/26/2004 - 04/30/2021

IVY DISTRIBUTORS, INC. (OVERLAND PARK KS)

KS

04/16/2004 - 04/30/2021

WADDELL & REED (OVERLAND PARK KS)

MA

01/05/2001 - 09/02/2003

BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)

MA

07/09/1998 - 01/16/2001

MFS FUND DISTRIBUTORS, INC. (BOSTON MA)

CT

07/21/1995 - 07/08/1998

PILGRIM AMERICA SECURITIES, INC. (WINDSOR CT)

AZ

06/13/1994 - 07/28/1995

SUNAMERICA SECURITIES, INC. (PHOENIX AZ)

NA

06/08/1992 - 05/18/1994

AMERICAN CAPITAL MARKETING, INC.

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Licenses & Designations

IA

Issued 03/01/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/21/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/12/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 11/23/2022

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/24/2004

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/02/1995

Series 7 - General Securities Representative Examination

BC

Issued 06/05/1992

Series 6 - Investment Company Products/Variable Contracts 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 is public disclosure for Kathryn L Wallace. Review regulatory record here.
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