Christopher Maher

CRD 2733126 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Chirstopher J Maher; Chris Maher; Christopher Jay Maher; Christopher Maher

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 24Series 57TOSIESeries 55Series 7
Registered states (19): Arizona · California · Colorado · Connecticut · Delaware · Florida · Hawaii · Illinois · Indiana · Maryland · Massachusetts · Nevada · New Jersey · New York · Oregon · Pennsylvania · Texas · Utah · Vermont
Years in the industry (source record): 30
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 (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Francisco, CA · IA capacity

Oct 9, 2020 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Francisco, CA · BC capacity

start not retrieved → present
Wells Fargo Clearing Services, LLC
IA capacity

Mar 23, 2018 → Oct 13, 2020
Wells Fargo Clearing Services, LLC
BD capacity

Jan 31, 2018 → Oct 13, 2020
Jmp Securities LLC
BD capacity

Jul 13, 2009 → May 17, 2016
Thomas Weisel Partners LLC
BD capacity

Mar 20, 2006 → Mar 2, 2009
Cibc World Markets Corp.
BD capacity

Apr 26, 2004 → Mar 9, 2006
Banc One Capital Markets, Inc.
BD capacity

Apr 25, 2002 → Apr 20, 2004
Robertson Stephens, Inc.
BD capacity

Sep 1, 1998 → Mar 27, 2002
Bancamerica Robertson Stephens
BD capacity

Apr 15, 1998 → Sep 1, 1998
Aragon Investments, Ltd.
BD capacity

Jul 16, 1996 → May 27, 1998
Titan Securities, L.L.C.
BD capacity

Jul 16, 1996 → Apr 20, 1998
Taft Securities, L.L.C.
BD capacity

Jul 16, 1996 → Apr 20, 1998

Source & corrections

Where this page comes from

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