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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Karen O'Kane

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NEW YORK, NY | Providence, RI

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Search this name across graphsid dfx:ria:473ea48a-c77c-abc7-fa23-aace7a9ad660

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 23, 2005earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Sep 23, 2005
First registration: Mar 6, 2007
Dual registered: yes, broker-dealer
Other names: KAREN BRADY|Karen OKANE
IAPD individual key: 4940571

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 14, 2016	n/a	yes	NEW YORK, NY\|Providence, RI	Current employment
WALNUT STREET SECURITIES, INC.	Former SEC adviser	Nov 29, 2011	Sep 4, 2013	no	WEST WARWICK, RI	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Nov 29, 2011	May 28, 2015	no	WEST WARWICK, RI	Previous registration
TOWER SQUARE SECURITIES, INC.	Former SEC adviser	Nov 29, 2011	Sep 4, 2013	no	WEST WARWICK, RI	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Nov 29, 2011	Jan 2, 2015	no	WEST WARWICK, RI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Nov 3, 2011	no	RIVERSIDE, RI	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Mar 6, 2007	Oct 23, 2009	no	LINCOLN, RI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MSI FINANCIAL SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 28, 2015	Jul 14, 2016	413	Firm change after gap	Other
NEW ENGLAND SECURITIES CORPORATION	MSI FINANCIAL SERVICES, INC.	Jan 2, 2015	Nov 29, 2011	-1,130	Bulk transfer	Other
WALNUT STREET SECURITIES, INC.	NEW ENGLAND SECURITIES CORPORATION	Sep 4, 2013	Nov 29, 2011	-645	Channel change	Other
TOWER SQUARE SECURITIES, INC.	WALNUT STREET SECURITIES, INC.	Sep 4, 2013	Nov 29, 2011	-645	Channel change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	WALNUT STREET SECURITIES, INC.	Nov 3, 2011	Nov 29, 2011	26	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (6)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Nov 3, 2011factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Nov 29, 2011 to May 28, 2015factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Nov 29, 2011 to Jan 2, 2015factForm ADV
→ WALNUT STREET SECURITIES, INC.Registered adviserregistration: previous registration
Nov 29, 2011 to Sep 4, 2013factForm ADV
→ TOWER SQUARE SECURITIES, INC.Registered adviserregistration: previous registration
Nov 29, 2011 to Sep 4, 2013factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 6, 2007 to Oct 23, 2009factForm ADV

Dated events

No dated event names this entity yet.