Christopher Malloy

CRD 2412989 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Red Bank, NJ

IA RegisteredBroker

Also appears in the source record as: Chris Malloy; Christopher Malloy

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 55Series 21Series 7Series 25Series 66Series 63
Registered states (16): California · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Maryland · Massachusetts · New Hampshire · New Jersey · New York · Pennsylvania · Puerto Rico · Rhode Island · Texas · Virginia
Years in the industry (source record): 27
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 (17)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Red Bank, NJ · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Red Bank, NJ · BC capacity

start not retrieved → present
Eagle Strategies LLC
Wall, NJ · IA capacity

Nov 6, 2023 → Aug 26, 2024
Nylife Securities LLC
Wall, NJ · BC capacity

Aug 9, 2023 → Aug 26, 2024
J.P. Morgan Securities LLC
Fair Haven, NJ · IA capacity

Apr 13, 2015 → Jun 25, 2023
J.P. Morgan Securities LLC
Fair Haven, NJ · BC capacity

Apr 10, 2015 → Jun 25, 2023
Securian Financial Services, Inc.
Wall, NJ · IA capacity

Feb 19, 2015 → Mar 30, 2015
Securian Financial Services, Inc.
Wall, NJ · BC capacity

Dec 3, 2014 → Mar 30, 2015
Kcg Americas LLC
New York, NY · BC capacity

Jul 2, 2012 → Jul 24, 2014
Getco Securities, LLC
Chicago, IL · BC capacity

Aug 6, 2012 → Aug 10, 2012
Knight Capital Americas, L.P.
Jersey City, NJ · BC capacity

Dec 20, 2010 → Jul 2, 2012
Kellogg Capital Markets, LLC
New York, NY · BC capacity

Mar 6, 2006 → Jan 3, 2011
Bear Wagner Specialists LLC
New York, NY · BC capacity

Jul 7, 2003 → Mar 6, 2006
Fleet Specialist, Inc.
New York, NY · BC capacity

Oct 1, 2000 → Jun 27, 2003
Fleet Securities, Inc.
Dallas, TX · BC capacity

Jan 26, 1999 → Aug 25, 2000
Waterhouse Securities, Inc.
Omaha, NE · BC capacity

Dec 6, 1994 → Oct 30, 1995
Hanover, Sterling & Company Ltd.
New York, NY · BC capacity

Jun 30, 1994 → Jul 22, 1994

Source & corrections

Where this page comes from

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