Kimberli Caughron, financial advisor Tyler TX
93 score

Kimberli Caughron

CRD Number: 3127416
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Kimberli Caughron (CRD# 3127416) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Tyler, TX and has over 19 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Jacksonville, FL Jan 2018 - Current < 1
Edward Jones Tyler, TX Dec 2009 - Dec 2017 8
Edward D. Jones & Company, LP Waco, TX Mar 1990 - Dec 2017 27
Merrill Lynch, Pierce, Fenner & Smith Incorporated Tyler, TX Oct 2009 - Dec 2009 < 1
Banc Of America Investment Services, Inc. Tyler, TX Aug 2009 - Dec 2009 < 1
Edward Jones Waco, TX May 2002 - Jun 2008 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 1998
S66 NASAA Uniform Combined State Law Examination Jul 2008
Contact Info for Kimberli A. Caughron
Phone Number: 800-637-7455
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    639,574
    MILLIONS
  • Total Number of Accounts
    1,831,494
    ACCOUNTS
  • Average Account Value
    $349,209
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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