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Chris Bradley Chaffin

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Charlotte, NC

Waxhaw , NC

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2013-08-08
  • NC RA
    APPROVED
    Since 2013-08-08

Branch Locations

620 S Tryon St Central Business Review Unit, Charlotte, NC 28255 • United States

Waxhaw , NC • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Miami FL 10/2009 Present
Previous Registrations
  • 2004-01-13 → 2005-05-25
    Banc Of America Investment Services, Inc.
    Charlotte, NC
    Bradenton, FL
    Cranford, NJ
    Ft. Lauderdale, FL
    Miami, FL
    Charlotte, NC
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-08-19
S63 Uniform Securities Agent State Law Examination 2000-08-12
  • S65 Uniform Investment Adviser Law Examination
    2000-08-19
  • S63 Uniform Securities Agent State Law Examination
    2000-08-12
Other Names
  • Chris B Chaffin

View on SEC IAPD

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