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Christine Lynn Klee

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Kingston, 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 2022-11-01
NY RA APPROVED 2022-10-14
  • TX RA
    APPROVED
    Since 2022-11-01
  • NY RA
    APPROVED
    Since 2022-10-14

Branch Locations

108 N Front St, Kingston, NY 12401 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Kingston NY 11/2010 11/2016
Wells Fargo Clearing Services, Llc Kingston NY 11/2016 01/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Kingston NY 01/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-09-30
S63 Uniform Securities Agent State Law Examination 2000-10-20
  • S66 Uniform Combined State Law Examination
    2022-09-30
  • S63 Uniform Securities Agent State Law Examination
    2000-10-20
Other Names
  • Christine L Lamm
  • Christine L Klee
  • Christine Klee

View on SEC IAPD

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Other Offices

MORGAN STANLEY · Kingston, NY
CETERA INVESTMENT ADVISERS LLC · KINGSTON, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · KINGSTON, NY
MML INVESTORS SERVICES, LLC · KINGSTON, NY
PROSPECT STREET HOLDINGS, LLC · KINGSTON, NY
AMERIPRISE FINANCIAL SERVICES, LLC · Kingston, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · KINGSTON, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Kingston, NY

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