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Christopher Peter Carpou

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Los Angeles, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-09-22
TX RA APPROVED_RES 2015-09-02
  • CA RA
    APPROVED
    Since 2015-09-22
  • TX RA
    APPROVED_RES
    Since 2015-09-02

Branch Locations

333 S Hope St, Los Angeles, CA 90071 • 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 Los Angeles CA 11/2010 Present
Bank Of America, N.A. Los Angeles CA 10/2015 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-09-21
S63 Uniform Securities Agent State Law Examination 2000-12-21
  • S65 Uniform Investment Adviser Law Examination
    2015-09-21
  • S63 Uniform Securities Agent State Law Examination
    2000-12-21

View on SEC IAPD

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