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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)19 years in industry

Katherine Higgins

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WAUKESHA, WI

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Search this name across graphsid dfx:ria:748b8b93-2d1f-1f51-62be-db4922cdd709

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Mar 15, 2010 to Sep 14, 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 1, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Mar 12, 2010
First registration: Mar 15, 2010
Dual registered: yes, broker-dealer
Other names: KATE LYNNE TRYON|KATHERINE LYNNE HIGGINS|KATHERINE L TRYON|KATHERINE TRYON|KATHERINE OTIS|Katherine L Otis
IAPD individual key: 4552017

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	Oct 23, 2024	n/a	yes	WAUKESHA, WI	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Mar 14, 2024	Jul 17, 2024	no	MILWAUKEE, WI	Previous registration
1834 INVESTMENT ADVISORS CO.	Mixed wealth	Feb 2, 2024	Aug 26, 2024	no	MILWAUKEE, WI	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 15, 2010	Jan 12, 2024	no	BURLINGTON, WI\|MILWAUKEE, WI	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
1834 INVESTMENT ADVISORS CO.	LPL FINANCIAL LLC	Aug 26, 2024	Mar 14, 2024	-165	Firm change after gap	RIA to ibd
LPL FINANCIAL LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jul 17, 2024	Oct 23, 2024	98	Firm change	Ibd to wirehouse
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	1834 INVESTMENT ADVISORS CO.	Jan 12, 2024	Feb 2, 2024	21	Firm change	Wirehouse to RIA

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 15, 2010 to Jan 12, 2024factForm ADV
→ 1834 INVESTMENT ADVISORS CO.Registered adviserregistration: previous registration
Feb 2, 2024 to Aug 26, 2024factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Mar 14, 2024 to Jul 17, 2024factForm ADV

Dated events

Occurred
Aug 26, 2024
Advisor changed firm
Katherine Higgins left 1834 Investment Advisors Co. for Lpl Financial Llc (registered 2024-03-14)
Form ADVobserved 6 days ago
Occurred
Jul 17, 2024
Advisor changed firm
Katherine Higgins left Lpl Financial Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-10-23)
Form ADVobserved 6 days ago
Occurred
Jan 12, 2024
Advisor changed firm
Katherine Higgins left Merrill Lynch, Pierce, Fenner & Smith Incorporated for 1834 Investment Advisors Co. (registered 2024-02-02)
Form ADVobserved 6 days ago