Christopher Alan Carbone

CRD 1061952 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Toms River, NJ

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (8): Series 65Series 63Series 10Series 9Series 8SIESeries 3Series 7
Registered states (31): Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Illinois · Indiana · Iowa · Louisiana · Maine · Maryland · Massachusetts · Montana · Nebraska · Nevada · New Jersey · New York · North Carolina · North Dakota · Ohio · Oregon · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia
Years in the industry (source record): 44
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Toms River, NJ · IA capacity

Nov 17, 2014 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Toms River, NJ · BC capacity

start not retrieved → present
Morgan Stanley
BD capacity

Jun 1, 2009 → Nov 19, 2014
Morgan Stanley
IA capacity

Jun 1, 2009 → Nov 19, 2014
Citigroup Global Markets Inc.
IA capacity

May 3, 2002 → Jun 1, 2009
Citigroup Global Markets Inc.
BD capacity

Jul 31, 1993 → Jun 1, 2009
Lehman Brothers Inc.
BD capacity

May 14, 1988 → Jul 31, 1993
E. F. Hutton & Company Inc
BD capacity

Mar 15, 1985 → May 14, 1988
Shearson/American Express Inc.
BD capacity

Aug 24, 1982 → Apr 13, 1984

Source & corrections

Where this page comes from

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