Chris Jeffrey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Chris Jeffrey, who also goes by Chris W Jeffrey, Chris William Jeffrey, Chris Jeffrey, Christopher W Jeffrey, Christopher William Jeffrey, Cj Jeffrey, was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 2000. Chris had worked at 9 firms and has passed the Series 65, Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2019 - July 28, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 7, 2019 - July 28, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2018 - April 24, 2019
J.P. MORGAN SECURITIES LLC
January 25, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 3, 2009 - March 8, 2018
SCOTTRADE, INC.
October 27, 2008 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2008 - April 29, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 2007 - August 13, 2007
LPL FINANCIAL LLC
July 1, 2003 - February 21, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 28, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
May 31, 2000 - March 2, 2001
IDS LIFE INSURANCE COMPANY
May 31, 2000 - March 2, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
