Christopher Michael Mullen

CRD 712747 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Greenwood Village, CO

IA RegisteredBroker

Also appears in the source record as: Chris Mullen

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63SIESeries 15Series 3Series 7
Registered states (33): Alabama · Arizona · Arkansas · California · Colorado · Florida · Georgia · Hawaii · Illinois · Iowa · Kansas · Kentucky · Michigan · Minnesota · Missouri · Nebraska · Nevada · New Jersey · New Mexico · New York · North Carolina · Oklahoma · Oregon · Pennsylvania · South Carolina · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 46
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 712747 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 (15)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Greenwood Village, CO · IA capacity

Dec 17, 2010 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Greenwood Village, CO · BC capacity

start not retrieved → present
Wells Fargo Investments, LLC
BD capacity

Feb 4, 2005 → Dec 13, 2010
Wells Fargo Investments, LLC
IA capacity

Feb 4, 2005 → Dec 13, 2010
Wachovia Securities, LLC
BD capacity

Dec 16, 2004 → Feb 4, 2005
Wachovia Securities, LLC
IA capacity

Dec 16, 2004 → Feb 4, 2005
Morgan Stanley
IA capacity

Apr 24, 2002 → Dec 17, 2004
Morgan Stanley Dw Inc.
BD capacity

Mar 19, 2001 → Dec 17, 2004
Dain Rauscher Incorporated
BD capacity

Mar 2, 1998 → Mar 26, 2001
Dain Rauscher Incorporated
BD capacity

Sep 12, 1996 → Mar 2, 1998
Painewebber Incorporated
BD capacity

Sep 3, 1991 → Sep 20, 1996
Lehman Brothers Inc.
BD capacity

May 14, 1988 → Sep 24, 1991
E. F. Hutton & Company Inc
BD capacity

May 17, 1982 → May 14, 1988
B. J. Leonard And Company, Inc.
BD capacity

Jul 28, 1980 → Mar 5, 1984
Thomson Mckinnon Securities Inc.
BD capacity

Nov 18, 1980 → May 26, 1982

Source & corrections

Where this page comes from

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