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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 2017-10-10
IL RA APPROVED 2017-10-06
  • TX RA
    APPROVED_RES
    Since 2017-10-10
  • IL RA
    APPROVED
    Since 2017-10-06

Branch Locations

10 N Martingale Rd, Schaumburg, IL 60173 • 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
J.P. Morgan Securities Llc Palatine IL 08/2015 11/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Rolling Meadows IL 09/2017 Present
Jpmorgan Chase Bank Na Palatine IL 12/2016 09/2017
Bank Of America, N.A. Rolling Meadows IL 10/2017 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-09-28
S63 Uniform Securities Agent State Law Examination 2008-09-18
  • S66 Uniform Combined State Law Examination
    2015-09-28
  • S63 Uniform Securities Agent State Law Examination
    2008-09-18
Other Names
  • Christopher L Auer

View on SEC IAPD

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