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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Jeffrey has been in the financial services industry since August 2002. Chris is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been with this firm since May 2019. Chris is a registered representative in 53 states and the District of Columbia and is also a registered investment advisor in California and Texas. Chris holds Series 7, 9, 10, 65, and 66 licenses. Chris also has experience with other firms such as J.P. Morgan Securities LLC, ScotTrade, Inc., and Linsco/Private Ledger Corp.
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
AZ
08/17/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHANDLER AZ)
AZ
10/25/2018 - 04/24/2019
J.P. MORGAN SECURITIES LLC (SCOTTSDALE AZ)
TX
09/03/2009 - 03/08/2018
SCOTTRADE, INC. (PEARLAND TX)
NC
05/30/2008 - 04/29/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
03/16/2007 - 08/13/2007
LINSCO/PRIVATE LEDGER CORP. (CHARLOTTE NC)
NC
07/01/2003 - 02/21/2007
WACHOVIA SECURITIES, LLC (CHARLOTTE NC)
NY
03/28/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MN
05/31/2000 - 03/02/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/31/2000 - 03/02/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 07/06/2009
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 07/08/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/12/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/08/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/08/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/30/2000
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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