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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2003-01-27
TX RA APPROVED_RES 1995-07-11
  • NJ RA
    APPROVED
    Since 2003-01-27
  • TX RA
    APPROVED_RES
    Since 1995-07-11

Branch Locations

100 Campus Dr, Florham Park, NJ 07932 • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Florham Park NJ 08/1992 Present
Bank Of America, Na Florham Park NJ 03/2010 Present
Other Businesses

I*: 2592263 Entity Type: For Profit Name of OBA: T Interiors LLC Address: Madison, NJ 07940 Investment Related: No Position, Title, Association: Advisor Employee Start Date: 10/17/2022 Number of Hours: 1 hr annually Number of Hours during trading: 1 hr annually Duties: T Interiors is my wife's interior design business. Financial Advisor of account investments

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-07-14
S63 Uniform Securities Agent State Law Examination 1992-11-16
  • S65 Uniform Investment Adviser Law Examination
    1997-07-14
  • S63 Uniform Securities Agent State Law Examination
    1992-11-16
Other Names
  • Christopher Cook

View on SEC IAPD

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