Kristopher J Burnham

CRD 4777697 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Charlotte, NC

IA RegisteredBroker

Also appears in the source record as: Kristopher James Burnham; Kristopher Burnham

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): SIESeries 7Series 10Series 9Series 24Series 65Series 66
Registered states (1): North Carolina
Years in the industry (source record): 21
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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Charlotte, NC · BC capacity

start not retrieved → present
Lpl Financial LLC
Charlotte, NC · IA capacity

May 2, 2011 → May 22, 2013
Lpl Financial LLC
Charlotte, NC · BC capacity

May 2, 2011 → May 22, 2013
Ubs Financial Services Inc.
Charlotte, NC · IA capacity

Mar 18, 2010 → Apr 29, 2011
Ubs Financial Services Inc.
Charlotte, NC · BC capacity

Dec 23, 2009 → Apr 29, 2011
Banc Of America Investment Services, Inc.
Charlotte, NC · BC capacity

Apr 6, 2009 → Oct 23, 2009
Tiaa-Cref Individual & Institutional Services, LLC
Charlotte, NC · BC capacity

Mar 9, 2009 → Apr 3, 2009
Nationwide Investment Services Corporation
Troy, NY · BC capacity

Sep 14, 2005 → Dec 11, 2006
Axa Advisors, LLC
New York, NY · BC capacity

May 24, 2004 → May 11, 2005

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 4777697 ↗ FINRA BrokerCheck record for CRD 4777697 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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