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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 APP_PEND_IARCE 2026-01-01
TX RA APPROVED_RES 2022-08-30
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01
  • TX RA
    APPROVED_RES
    Since 2022-08-30

Branch Locations

8921 Santa Monica Blvd, West Hollywood, CA 90069 • United States

Disclosures

2 disclosure categories 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
New York Life Insurance Co Glendale CA 08/2019 02/2022
Nylife Securities Llc Glendale CA 07/2020 02/2022
Unemployed Glendale CA 05/2019 08/2019
Gymboree Group Northridge CA 08/2015 04/2019
Gymboree Group Annapolis MD 06/2011 04/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated West Hollywood, CA 01/2022 Present
Bank Of America, N.A. West Hollywood CA 01/2022 Present
Out West Restaurant Group Glendale CA 08/2016 11/2016
Sur La Table El Segundo CA 06/2019 10/2019
  • 08/2019 → 02/2022
    New York Life Insurance Co
    Glendale, CA
  • 07/2020 → 02/2022
    Nylife Securities Llc
    Glendale, CA
  • 05/2019 → 08/2019
    Unemployed
    Glendale, CA
  • 08/2015 → 04/2019
    Gymboree Group
    Northridge, CA
  • 06/2011 → 04/2019
    Gymboree Group
    Annapolis, MD
  • 01/2022 → Present
    West Hollywood,, CA
  • 01/2022 → Present
    Bank Of America, N.A.
    West Hollywood, CA
  • 08/2016 → 11/2016
    Out West Restaurant Group
    Glendale, CA
  • 06/2019 → 10/2019
    Sur La Table
    El Segundo, CA
Other Businesses

[CSMFS Music LLC; dormant business; Established 08/2017; 1017 Melrose Ave apt 5 , Glendale, Ca 91202; 0 hours per month; no compensation; non-investment related]

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-06-25
S63 Uniform Securities Agent State Law Examination 2020-09-25
  • S66 Uniform Combined State Law Examination
    2022-06-25
  • S63 Uniform Securities Agent State Law Examination
    2020-09-25
Other Names
  • Chris Smith

View on SEC IAPD

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