Christine Florence Heim

CRD 2760569 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Florham Park, NJ

IA RegisteredBroker

Also appears in the source record as: Christine F Heim

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 10Series 9SIESeries 31Series 7
Registered states (30): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Indiana · Maryland · Massachusetts · Michigan · Minnesota · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · Texas · Vermont · Virginia · Washington · West Virginia · Wisconsin
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2760569 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 (6)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Florham Park, NJ · IA capacity

Sep 10, 2010 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Florham Park, NJ · BC capacity

start not retrieved → present
Wells Fargo Advisors, LLC
IA capacity

Jan 5, 2004 → Sep 14, 2010
Wells Fargo Advisors, LLC
BD capacity

Oct 1, 2000 → Sep 14, 2010
First Union Brokerage Services, Inc.
BD capacity

Jan 14, 2000 → Oct 1, 2000
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Aug 13, 1996 → Jan 12, 2000

Source & corrections

Where this page comes from

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