AdFi
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Kaarina Lineth Plotkin

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Columbia, SCCRD #3012250Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
16 yrs
States Registered
16 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 16 states
AlabamaArizonaCaliforniaColoradoFloridaGeorgiaIllinoisMarylandMississippiNorth CarolinaOhioSouth CarolinaTennesseeTexasVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 7/17/2017
Series 63
Uniform Securities Agent State Law Examination
Passed 3/11/1998
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/26/2016
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 3/9/1998
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/16/2001
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 11/22/2000

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
7/19/2017Columbia, SC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
9/2/20052/14/2008Fayetteville, NC
CITIGROUP GLOBAL MARKETS INC.
2/12/200310/15/2003New York, NY
SALOMON SMITH BARNEY INC.
12/8/19997/20/2001New York, NY
FIRST UNION BROKERAGE SERVICES, INC.
3/10/19985/7/1999Charlotte, NC

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kaarina Lineth Plotkin has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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