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Christopher John Mullin

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

Garden City, NY

CRD 2505338

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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

AuthorityCategoryStatusDate
NJ RA APPROVED 2006-03-15
  • NJ RA
    APPROVED
    Since 2006-03-15

Branch Locations

One Bryant Park, New York, NY 10036 • UNITED STATES

1325 Franklin Ave, Garden City, NY 11530 • 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 New York NY 04/2000 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-03-03
S63 Uniform Securities Agent State Law Examination 1996-12-02
  • S65 Uniform Investment Adviser Law Examination
    2006-03-03
  • S63 Uniform Securities Agent State Law Examination
    1996-12-02

View on SEC IAPD

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