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.

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

Feb 5, 2007earliest registration or exam on IAPD

Years in industry

19derivedfrom the industry start date

Years at current firm

9derivedfrom the current registration's begin date

Prior firms

1

Current registrations

1

Registered states

2

Exams

S65|S63

First exam

Feb 5, 2007

First registration

Jun 16, 2011

Dual registered

yes, broker-dealer

Other names

KATHLEEN ELISABETH AUGUSTA|Kathleen Augusta

IAPD individual key

1729907

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9fb25e0d-83dd-e225-2ca1-aa4c770b955c

First observed

Jun 16, 2011

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.