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Christopher Welfley

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Latham, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-07-31
NY RA APPROVED 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2022-07-31
  • NY RA
    APPROVED
    Since 2021-04-19

Branch Locations

26 Century Hill Dr, Latham, NY 12110 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Latham NY 10/2014 Present
Bank Of America, N.A. Latham NY 12/2014 Present
Previous Registrations
  • 2007-01-23 → 2007-06-08
    Banc Of America Investment Services, Inc.
    Latham, NY
  • 2004-10-20 → 2005-08-23
    Banc Of America Investment Services, Inc.
    Scotia, NY
  • 2004-05-21 → 2004-10-20
    Quick & Reilly, Inc.
    Albany, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-07-23
S66 Uniform Combined State Law Examination 2000-11-22
  • S65 Uniform Investment Adviser Law Examination
    2004-07-23
  • S66 Uniform Combined State Law Examination
    2000-11-22
Other Names
  • Christopher Jay Welfley
  • Chris Welfley

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · Latham, NY
EAGLE STRATEGIES LLC · LATHAM, NY
MML INVESTORS SERVICES, LLC · LATHAM, NY
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