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Christine West

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Wellesley Hills, MA

Newton, MA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2025-01-06
TX RA APPROVED 2019-01-17
CT RA APPROVED 2018-12-18
  • RI RA
    APPROVED
    Since 2025-01-06
  • TX RA
    APPROVED
    Since 2019-01-17
  • CT RA
    APPROVED
    Since 2018-12-18

Branch Locations

One Bryant Park Division - Northeast, New York, NY 10036 • United States

45 William St, Wellesley Hills, MA 02481 • United States

Newton, MA • 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
Morgan Stanley Boston MA 08/2016 12/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 12/2018 Present
Previous Registrations
  • 2016-09-06 → 2018-12-11
    Morgan Stanley
    Boston, MA
    Boston, MA
  • 2013-10-11 → 2016-08-16
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Wellesley Hills, MA
    Boston, MA
    Andover, MA
    Lincoln, RI
    Burlington, MA
    Westborough, MA
    Wellesley Hills, MA
    Wellesley Hills, MA
    Wellesley Hills, MA
    Boston, MA
    Westborough, MA
    Burlington, MA
    Lincoln, RI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-10-10
S63 Uniform Securities Agent State Law Examination 2007-06-26
  • S65 Uniform Investment Adviser Law Examination
    2013-10-10
  • S63 Uniform Securities Agent State Law Examination
    2007-06-26
Other Names
  • Christine Carola Cummings
  • Christine Carola Tuccio
  • Christine C. West

View on SEC IAPD

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