Christopher W Smiles

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
VT	RA	APPROVED	2008-11-14
TX	RA	APPROVED_RES	2003-05-30
CT	RA	APPROVED	1991-07-23

VT RA
APPROVED

Since 2008-11-14
TX RA
APPROVED_RES

Since 2003-05-30
CT RA
APPROVED

Since 1991-07-23

Branch Locations

Weston, VT • United States

301 Tresser Blvd, Stamford, CT 06901 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Stamford	CT	05/1984	Present
Bank Of America, N.A.	Stamford	CT	07/2011	Present

05/1984 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Stamford, CT
07/2011 → Present

Bank Of America, N.A.

Stamford, CT

Other Businesses

I*52417 For profit or not for profit: For-Profit Organization Name of outside business organization: Smiles Brothers Real Estate LLC Investment related: N Address of business: Weston, Vermont 05161 Nature of business: LLC, Position, title, association: General Partner, Start date of relationship: 9/9/2009 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: to own real estate I*114629 For profit or not for profit: For-Profit Organization Name of outside business organization: smiles management llc Investment related: N Address of business: weston, Vermont 05161 Nature of business: LLC, Position, title, association: Other, managing member Start date of relationship: 5/1/2018 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: holds family vacation house for estate planning purposes managing member I*2188288, Entity Type: , Name of OBA: Town of Weston Vermont Development Review Board, Address: Weston, Vermont, 05161, Investment Related: N, Position, Title, Association: Advisory Board, Employee State Date: 01-Mar-2025, No Hours: 2 Monthly, No Hours during Trading: 0 Monthly, Duties:

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-10-10
S63	Uniform Securities Agent State Law Examination	1982-06-15

S65 Uniform Investment Adviser Law Examination

2007-10-10
S63 Uniform Securities Agent State Law Examination

1982-06-15

Other Names

Toby Smiles
Christopher Wiggin Smiles

View on SEC IAPD