Christopher Michael Swick

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	2015-09-24
RI	RA	APPROVED	2015-07-30

TX RA
APPROVED

Since 2015-09-24
RI RA
APPROVED

Since 2015-07-30

Branch Locations

1 Financial Plaza, Providence, RI 02903 • 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	Providence	RI	07/2014	Present
Bank Of America, N.A	Providence	RI	06/2015	Present

07/2014 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Providence, RI
06/2015 → Present

Bank Of America, N.A

Providence, RI

Other Businesses

I*1035290 For profit or not for profit: Entity Charitable Name of outside business organization: Bishop Feehan High School Investment related: N Address of business: Attleboro, Massachusetts Nature of business: ["School, College or University"] Position, title, association: ["Committee"], [["Endowment committee","Fundraising committee"]] Start date of relationship: 10/13/2022 Number of hours devoted: 24 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , To establish and develop strategic initiatives for Bishop Feehan High School through fundraising and increasing alumni engagement and involvement with their alma mater.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-07-29

S66 Uniform Combined State Law Examination

2015-07-29

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