Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Chris? Claim Your ProfileChris Sotus is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Chris has been working in the financial industry since 1986 and has been with Merrill Lynch since 2011. Chris has a wide range of experience in the financial services industry, including investment advisory and brokerage services. Chris holds several licenses and certifications, including Series 7, 9, 10, 31, 63, and 65. Chris is also registered to provide financial advisory services in multiple states. Chris has a strong commitment to providing his clients with personalized financial planning and investment advice.
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
GA
09/29/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAVANNAH GA)
GA
06/15/2002 - 10/01/2011
WELLS FARGO ADVISORS, LLC (SAVANNAH GA)
NC
09/25/1989 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
09/26/1986 - 10/04/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
IA
Issued 12/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/13/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/03/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 09/20/1986
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
Not sure Chris Sotus is the right advisor for you? Invested Better is here to help.
