Christopher Peter Carpou

CRD 1238479 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Los Angeles, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 53Series 52TOSIESeries 7
Registered states (45): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 42
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 (11)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · IA capacity

Sep 2, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Los Angeles, CA · BC capacity

start not retrieved → present
Banc Of America Securities LLC
BD capacity

Aug 17, 1999 → Nov 1, 2010
Municipal Partners Inc.
BD capacity

Jul 21, 1992 → Sep 22, 1999
Municipal Partners Inc.
BD capacity

Jun 23, 1992 → Jul 15, 1992
Cantor Fitzgerald Fixed Income Brokers, Inc.
BD capacity

Jan 25, 1991 → Jun 26, 1992
Cantor, Fitzgerald Municipal Brokers, Inc.
BD capacity

May 23, 1990 → Jan 25, 1991
J.J. Kenny Drake, Inc.
BD capacity

Apr 24, 1989 → Jun 5, 1990
Clifford Drake & Company Inc.
BD capacity

Aug 25, 1986 → Apr 24, 1989
Morgan Stanley & Co., Incorporated
BD capacity

Apr 3, 1985 → Aug 1, 1986
Dean Witter Reynolds Inc.
BD capacity

Mar 19, 1984 → Apr 15, 1985

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 1238479 ↗ FINRA BrokerCheck record for CRD 1238479 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.