Kathleen Vaughan
Kathleen Vaughan is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Bloomington, MN, with 30 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
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Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
8300 Norman Center Dr, Bloomington, MN, 55437
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
UBS Financial Services INC.Broker
Piper Jaffray & CO.Broker
Primevest Financial Services, INC.Broker
State Registrations44 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.