Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Cunningham is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Chris has been in the financial services industry since 1986. Chris works at the branch office located in Columbia, Maryland. Chris is a registered representative in 32 states and the District of Columbia. Chris has passed the Series 31, Series 7, Series 9, Series 10, Series 63 and Series 65 exams. Chris specializes in working with high net worth individuals, corporations, businesses, pension and profit sharing plans and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MD
09/14/2005 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (COLUMBIA MD)
NY
03/27/2000 - 09/14/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
11/21/1986 - 03/15/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/24/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/18/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/27/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 11/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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