Christopher Lawson

CRD 5237555 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Clayton, MO

IA RegisteredBroker

Also appears in the source record as: Chris Michael Lawson; Chris Lawson; Christopher M Lawson; Christopher Michael Lawson

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 66Series 10Series 9Series 31SIESeries 7Series 6
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 20
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 5237555 contains one or more disclosure events as of Aug 20, 2026.

findmyFA.app does not reproduce, summarise, characterise, or interpret the content of disclosure events. A disclosure event is a category of entry in a regulatory record; it is not, by itself, a finding of wrongdoing. Read the events in full on the official systems:

FINRA BrokerCheck ↗ · 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
Clayton, MO · IA capacity

Jun 8, 2018 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Clayton, MO · BC capacity

start not retrieved → present
Capital One Investing, LLC
BD capacity

Jun 6, 2017 → Jan 2, 2018
Capital One Advisors, LLC
IA capacity

Jun 6, 2017 → Jan 2, 2018
E*trade Capital Management, LLC
IA capacity

Mar 16, 2015 → Oct 1, 2015
E*trade Securities LLC
BD capacity

Jan 29, 2015 → Oct 1, 2015
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

Nov 21, 2012 → Jan 15, 2015
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Mar 13, 2012 → Jan 15, 2015
Metlife Securities Inc.
IA capacity

Sep 21, 2007 → Nov 26, 2007
Metlife Securities Inc.
BD capacity

Aug 2, 2007 → Nov 26, 2007
Chase Investment Services Corp.
BD capacity

Nov 22, 2006 → Feb 23, 2007

Source & corrections

Where this page comes from

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