Christopher L. Williams

CRD 1157162 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Chicago, IL

IA RegisteredBroker

Also appears in the source record as: Chris Williams; Christopher L Williams; Christopher Lee Williams

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 65Series 63Series 8SIESeries 3Series 7
Registered states (5): California · Illinois · New Jersey · Tennessee · Utah
Years in the industry (source record): 43
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1157162 contains one or more disclosure events as of Aug 20, 2026.

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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 (18)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · IA capacity

Sep 25, 2023 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Chicago, IL · BC capacity

start not retrieved → present
Leumi Investment Services Inc.
BD capacity

Dec 15, 2017 → Oct 18, 2018
J.P. Morgan Securities LLC
BD capacity

Sep 30, 2014 → Aug 23, 2017
Oak Ridge Investments, LLC
IA capacity

Jul 27, 2012 → Oct 3, 2014
Imst Distributors, LLC
BD capacity

Aug 15, 2013 → Sep 30, 2014
Pioneer Funds Distributor, Inc.
BD capacity

Aug 27, 2012 → May 9, 2013
Barclays Capital Inc.
BD capacity

Jun 28, 2010 → Jul 12, 2012
Barclays Capital Inc.
IA capacity

Jun 28, 2010 → Jul 12, 2012
Credit Suisse Securities (USA) LLC
BD capacity

Mar 14, 2007 → Jul 16, 2010
Credit Suisse Securities (USA) LLC
IA capacity

Mar 14, 2007 → Jul 16, 2010
Banc Of America Investment Services, Inc.
BD capacity

Aug 28, 2003 → Mar 2, 2007
Banc Of America Investment Services, Inc.
IA capacity

Aug 28, 2003 → Mar 2, 2007
Morgan Stanley
IA capacity

Jul 6, 2001 → Aug 26, 2003
Morgan Stanley Dw Inc.
BD capacity

Sep 14, 1999 → Aug 26, 2003
Salomon Smith Barney Inc.
BD capacity

Jul 31, 1993 → Oct 4, 1999
Lehman Brothers Inc.
BD capacity

Jul 10, 1986 → Jul 31, 1993
Smith Barney, Harris Upham & Co., Incorporated
BD capacity

Jul 21, 1983 → Jun 19, 1986

Source & corrections

Where this page comes from

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