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Christopher Nicholas Stuppi

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Glen Gardner, NJ

Pennington, NJ

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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 2019-10-16
NJ RA APPROVED 2019-10-01
  • TX RA
    APPROVED_RES
    Since 2019-10-16
  • NJ RA
    APPROVED
    Since 2019-10-01

Branch Locations

Glen Gardner, NJ • United States

1100-1800 American Blvd Ci Relationship Management, Pennington, NJ 08534 • 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 Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pennington NJ 02/2016 Present
Bank Of America, N.A. New Jersey NJ 05/2022 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-09-30
S63 Uniform Securities Agent State Law Examination 2018-03-12
  • S66 Uniform Combined State Law Examination
    2019-09-30
  • S63 Uniform Securities Agent State Law Examination
    2018-03-12
Other Names
  • Christopher Nicholas Stippi

View on SEC IAPD

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