Christopher Doherty

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-07-28
CA	RA	APPROVED	2018-12-24

TX RA
APPROVED

Since 2020-07-28
CA RA
APPROVED

Since 2018-12-24

Branch Locations

100 Spectrum Center Dr, Irvine, CA 92618 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Irvine	CA	10/2018	Present
Asia Distribution & Marketing Co., Ltd.	Bangkok		03/1996	08/2018
Modona Bathroom Company	Newbury Park	CA	01/2014	06/2018
Bank Of America, N.A.	Irvine	CA	11/2018	Present

10/2018 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Irvine, CA
03/1996 → 08/2018

Asia Distribution & Marketing Co., Ltd.

Bangkok
01/2014 → 06/2018

Modona Bathroom Company

Newbury Park, CA
11/2018 → Present

Bank Of America, N.A.

Irvine, CA

Other Businesses

I*372247, Entity Type: Entity For Profit, Name of OBA: MODONA BATHROOM COMPANY, LLC., Address: Newbury Park, California 91320, Investment Related: N, Position, Title, Association: Officer,Committee, Employee Start Date: 01/01/2013, No Hours: 0, No Hours during trading: 0, Duties: Online Selling of Bathroom Accessories

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-12-21

S66 Uniform Combined State Law Examination

2018-12-21

Other Names

Dennis Christopher Doherty

View on SEC IAPD