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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
CT RA APPROVED 2018-11-12
TX RA APPROVED_RES 2018-11-09
  • NY RA
    APPROVED
    Since 2021-04-19
  • CT RA
    APPROVED
    Since 2018-11-12
  • TX RA
    APPROVED_RES
    Since 2018-11-09

Branch Locations

1241 Pittsford Victor Rd, Pittsford, NY 14534 • 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 Rochester NY 06/1989 Present
Bank Of America,N.A. Pittsford NY 05/2011 Present
Other Businesses

I*28489 FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: WATER FOR SOUTH SUDAN, INC. INVESTMENT RELATED: N ADDRESS OF BUSINESS: PENFIELD, NEW YORK 14526 NATURE OF BUSINESS: CHARITABLE ORGANIZATION, POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 7/1/2007 NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: BOARD MEMBER - THE ORGANIZATION RAISES MONEY TO FINANCE THE DRILLING OF WELLS TO PROVIDE CLEAN DRINKING WATER TO THE PEOPLE OF SOUTH SUDAN I*456115 For profit or not for profit: Entity Charitable Name of outside business organization: Fairport Baptist Home Foundation Investment related: N Address of business: Fairport, New York, 14450 Nature of business: ["Charitable Organization"] Position, title, association: ["Officer"], Start date of relationship: 6/1/2021 Number of hours devoted: 3 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: , I will be the Chariman of the Board of Directors of the Foundation. Attend board meetings, join 1-2 committees and attend those meetings/support them; serve as an ambassador for the board and Foundation at stewardship events, fundraisers, and other I*127721 For profit or not for profit: Non-Profit Organization Name of outside business organization: St. Paul's Episcopal Church Investment related: Y Address of business: Rochester, New York 14607 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 1/1/2020 Number of hours devoted: 10 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: I will chair the Church's Investment Policy Committee. The Committee has oversight responsibilities for the Church's investment portfolio and investment policy. I*134963 For profit or not for profit: Non-Profit Organization Name of outside business organization: Episcopal Diocese of Rochester Investment related: Y Address of business: Henrietta, New York 14467 Nature of business: Charitable Organization, Position, title, association: Committee Member, Start date of relationship: 1/1/2021 Number of hours devoted: 5 hour(s) Annually Number of hours devoted during trading hours: 3 Duties: The entity is the umbrella organization for Episcopal Churches in the Rochester, NY and Finger Lakes area. My role would be to serve on the Investment Review Committee which oversees the Diocese's endowment.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-11-09
S63 Uniform Securities Agent State Law Examination 1992-07-29
  • S65 Uniform Investment Adviser Law Examination
    2018-11-09
  • S63 Uniform Securities Agent State Law Examination
    1992-07-29
Other Names
  • Chris Moore
  • Christopher A Moore
  • Chris Moore

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