Christopher P. Merkle
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.
Christopher Prinz Merkle, who also goes by Christopher Merkle, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2000. Christopher had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2019 - April 16, 2024
NATIONAL FINANCIAL SERVICES LLC
September 20, 2012 - July 10, 2018
AMG DISTRIBUTORS, INC.
May 11, 2010 - January 3, 2012
BARINGS SECURITIES LLC
July 2, 2007 - May 4, 2010
BNY MELLON SECURITIES CORPORATION
December 15, 2005 - July 2, 2007
MELLON FUNDS DISTRIBUTOR, L.P.
January 14, 2005 - December 31, 2005
MBSC, LLC
October 1, 2000 - February 27, 2004
BROWN BROTHERS HARRIMAN & CO.
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
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
